SQF Code
A HACCP-Based Supplier Assurance
Code for the Food Industry
7th Edition
JULY 2012
© Safe Quality Food Institute
2345 Crystal Drive, Suite 800
Arlington, VA 22202 USA
202-220-0635
www.sqfi.com
SQF Institute is a division of the Food Marketing Institute (FMI).
Introduction
The SQF Code, Edition 7
First published May 1995
Introduction
Welcome to edition 7 of the SQF Code. The SQF Code has been redesigned for use by all sectors of the food industry
from primary production to transport and distribution. Edition 7 applies to all industry sectors and replaces the SQF
2000 Code edition 6 and the SQF 1000 Code edition 5.
The SQF Code is a process and product certification standard. It is a Hazard Analysis Critical Control Points
(HACCP)-based food safety and quality management system that utilizes the National Advisory Committee on
Microbiological Criteria for Food (NACMCF) and the CODEX Alimentarius Commission HACCP principles and guidelines,
and is intended to support industry or company branded product and to offer benefits to suppliers and their
customers. Products produced and manufactured under the SQF Code certification retain a high degree of
acceptance in global markets.
First developed in Australia in 1994, the SQF program has been owned and managed by the Food Marketing Institute
(FMI) since 2003, and was recognized (at level 2) in 2004 by the Global Food Safety Initiative (GFSI)* as a standard
that meets its benchmark requirements. The SQF Code level 3 exceeds the requirements of the GFSI benchmark
documents.
The main feature of the SQF Code is its emphasis on the systematic application of HACCP for control of food quality
hazards as well as food safety. The implementation of an SQF management system addresses a buyer’s food safety
and quality requirements and provides the solution for businesses supplying local and global food markets.
Certification of SQF Systems by a certification body licensed by the Safe Quality Food Institute (SQFI) is not a
statement that the certification body guarantees the safety of a supplier’s food or service, or meets all food safety
regulations at all times. However, it is an assurance that the supplier’s food safety plans have been implemented in
accordance with the HACCP method and applicable regulatory requirements and that they have been verified and
determined effective to manage food safety. It is also a statement of the supplier’s commitment to
1.
2.
3.
produce safe, quality food,
comply with the requirements of the SQF Code, and
comply with applicable food legislation.
Edition 7 of the SQF Code is applicable to all certification and surveillance audits conducted after June 30, 2012.
Those suppliers with an existing SQF certification will be required to upgrade their systems to meet the requirements
of Edition 7 by that date.
This reference document is published in English, but is also available in other languages. Where there is any
divergence between the translated version and the reference document, the reference document will prevail.
For further definition of words in this document, please refer to Appendix 2: Glossary.
Suggestions for improvements to the Code are encouraged from all users. They should be submitted in writing and
be sent to SQFI, 2345 Crystal Drive, Suite 800, Arlington, VA, 22202, USA.
*The Global Food Safety Initiative (GFSI) is a private organization established by the international trade association, the Consumer
Goods Forum. The GFSI maintains a scheme to benchmark food safety standards for manufacturers as well as farm assurance
standards.
Copyright© Food Marketing Institute (FMI) 2011. All rights reserved.
First Printed May 1995
Users of this Code and the associated documents are reminded that copyright subsists in all FMI publications and software. Except
where the Copyright Act allows and except where provided for below no publications or software produced by FMI may be reproduced,
stored in a retrieval system in any form or transmitted by any means without prior permission in writing from FMI. Permission may
be conditional on an appropriate royalty payment. All requests for permission and information on software royalties should be directed
in writing to SQFI.
Care should be taken to ensure that material used is from the current edition of the Code and that it is updated whenever the Code is
amended or revised. The date of the Code should therefore be clearly identified.
The use of material in print form or in computer software programs to be used commercially, with or without payment, or in
commercial contracts is subject to the payment of a royalty. FMI may vary this policy at any time.
SQF, its certification marks, intellectual property and logos are owned by FMI and are used under license by its nominated Agents.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
1
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
Contents
Introduction
1
Part A: Implementing and Maintaining the SQF Code ........................................... 18
1.
2.
Preparing for SQF Certification .......................................................................... 18
1.1
Learn about the SQF Code ........................................................................... 18
1.2
Select the Relevant SQF Modules ................................................................... 19
1.3
Register on the SQF Assessment Database ...................................................... 21
1.4
Use of SQF Consultants ............................................................................... 21
1.5
Designate an SQF Practitioner .................................................................... 21
1.6
SQF Implementation Training ..................................................................... 21
1.7
Select the Certification Level ...................................................................... 21
1.8
Document and Implement the SQF Code...................................................... 22
1.9
SQF Guidance Documents .......................................................................... 22
1.10
Select a Certification Body ...................................................................... 22
1.11
Conduct a Pre-assessment Audit .............................................................. 22
The Certification Process .................................................................................... 23
2.1
Selection of the SQF Auditor(s) ..................................................................... 23
2.2
Identifying the Scope of Certification .............................................................. 23
2.3
The Certification Audit ................................................................................. 23
2.4
Identifying the Scope of the Audit .................................................................. 23
2.5
Audit Duration Guide................................................................................... 23
2.6
The Desk Audit .......................................................................................... 24
2.7
The Facility Audit ........................................................................................ 24
2.8
System Elements ....................................................................................... 25
2.9
Non-conformities........................................................................................ 25
2.10 Opportunities for Improvement ..................................................................... 26
2.11 The Audit Report ........................................................................................ 26
3. The Initial Certification Decision ............................................................................. 27
3.1
Responsibility for the Certification Decision ...................................................... 27
4
3.2
Facility Audit Corrective Actions .................................................................. 27
3.3
Audit Score and Rating ................................................................................ 27
3.4
Granting Certification .................................................................................. 28
3.5
Failure to Comply ....................................................................................... 28
Surveillance and Recertification ........................................................................... 29
4.1
Maintaining Certification............................................................................... 29
4.2
Surveillance Audit....................................................................................... 29
4.3
Recertification Audit .................................................................................... 29
4.4
Variations to the Re-certification Process ..................................................... 30
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
2
The SQF Code, Edition 7
First published May 1995
5
Part A: Implementing and Maintaining the SQF
Code
4.5
Suspending Certification ............................................................................ 30
4.6
Withdrawing Certification ........................................................................... 30
Obligations of Suppliers and Certification Bodies ..................................................... 32
5.1 Changing the Scope of Certification ............................................................. 32
5.2
Changing the Certification Body .................................................................. 32
5.3
Notification of Product Recalls and Regulatory Infringements .......................... 32
5.4
Change of Ownership ................................................................................ 32
5.5
Relocation of Premises ............................................................................... 32
5.6
Use of a Technical Expert ........................................................................... 33
5.7
Language ................................................................................................. 33
5.8
Conflict of Interest .................................................................................... 33
5.9
Complaints, Appeals and Disputes ............................................................... 33
Part B: The SQF Code ........................................................................................... 35
Module 1: Scope, References and Definitions ....................................................... 35
a) Scope ............................................................................................................ 35
b) References ...................................................................................................... 35
c) Definitions ...................................................................................................... 35
Module 2: SQF System Elements .......................................................................... 36
2.1
Management Commitment ............................................................................ 36
2.1.1
Management Policy (M) .......................................................................... 36
2.1.2
Management Responsibility (M) ............................................................... 36
2.1.3
Food Safety Management System (M) ...................................................... 38
2.1.4
Management Review (M) ........................................................................ 39
2.1.5
Complaint Management .......................................................................... 39
2.1.6
Business Continuity Planning ................................................................... 40
2.2
Document Control and Records ...................................................................... 41
2.2.1
Document Control (M) ............................................................................ 41
2.2.2
Records (M) .......................................................................................... 41
2.3
Specification and Product Development .......................................................... 42
2.3.1
Product Development and Realization ....................................................... 42
2.3.2
Raw and Packaging Materials................................................................... 42
2.3.3
Contract Service Providers ...................................................................... 43
2.3.4
Contract Manufacturers .......................................................................... 44
2.3.5
Finished Product .................................................................................... 44
2.4
Attaining Food Safety ................................................................................... 45
2.4.1
Food Legislation (Regulation) (M) ............................................................ 45
2.4.2
Food Safety Fundamentals (M) ................................................................ 45
2.4.3
Food Safety Plan (M) .............................................................................. 46
2.4.4
Food Quality Plan ................................................................................... 46
2.4.5
Incoming Goods and Services .................................................................. 47
2.4.6
Non-conforming Product or Equipment ..................................................... 48
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
3
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
2.4.7
Product Rework ..................................................................................... 49
2.4.8
Product Release (M) ............................................................................... 49
2.4.9
Stock Rotation ....................................................................................... 50
2.5
SQF System Verification................................................................................ 50
2.5.1
Responsibility, Frequency and Methods ..................................................... 50
2.5.2
Validation & Effectiveness (M) ................................................................. 51
2.5.3
Verification Schedule .............................................................................. 51
2.5.4
Verification of Monitoring Activities (M) ..................................................... 51
2.5.5
Corrective and Preventative Action (M) ..................................................... 52
2.5.6
Product Sampling, Inspection and Analysis................................................ 52
2.5.7
Internal Audits (M) ................................................................................. 53
2.6
Product Identification, Trace, Withdrawal and Recall ......................................... 54
2.6.1
Product Identification (M) ....................................................................... 54
2.6.2
Product Trace (M) .................................................................................. 54
2.6.3
Product Withdrawal and Recall (M) ........................................................... 55
2.7
Site Security ............................................................................................... 55
2.7.1
Food Defense (M) .................................................................................. 55
2.8
Identity Preserved Foods .............................................................................. 56
2.8.1
General Requirements for Identity Preserved Foods ................................... 56
2.8.2
Allergen Management ............................................................................. 57
2.9
Training ...................................................................................................... 59
2.9.1
Training Requirements............................................................................ 59
2.9.2
Training Program (M) ............................................................................. 59
2.9.3
Instructions........................................................................................... 60
2.9.4
HACCP Training Requirement .................................................................. 60
2.9.5
Language .............................................................................................. 60
2.9.6
Refresher Training ................................................................................. 60
2.9.7
Training Skills Register ........................................................................... 60
Module 3:
Food Safety Fundamentals – Good Agricultural Practices for Single
Feed Production (GFSI F1) ................................................................................... 61
Module 4:
Food Safety Fundamentals – Good Agricultural Practices for
Compound Feed Production (GFSI F2) ................................................................. 62
Module 5:
Food Safety Fundamentals – Good Agricultural Practices for
Farming of Animal Products (GFSI Al).................................................................. 63
5.1
Site Requirements........................................................................................ 63
5.1.1
Property Location ................................................................................... 63
5.2
Secure Housing of Livestock and Feed ............................................................ 63
5.2.1
Site Access and Security ...................................................................... 63
5.2.2
Pens and Yards ................................................................................... 63
5.2.3
Intensive Housing System.................................................................... 63
5.2.4
Laneways, Races, Entrances, Exits and Loading/Unloading Ramps ............ 63
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
4
The SQF Code, Edition 7
First published May 1995
5.2.5
Part A: Implementing and Maintaining the SQF
Code
Buildings for Storage of Feed, Agricultural Chemicals, and Equipment ....... 64
5.2.6
Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction
and Storage ...................................................................................................... 64
5.2.7
Vehicles, Equipment and Utensils .......................................................... 64
5.2.8
Maintenance Protocol .......................................................................... 64
5.2.9
Calibration of Equipment...................................................................... 64
5.2.10
Pest and Vermin Management .............................................................. 64
5.2.11
Animal Control ................................................................................... 65
5.2.12
Cleaning and Sanitation ....................................................................... 65
5.3
Personal Hygiene and Welfare ....................................................................... 65
5.3.1
Personnel Practices ................................................................................ 65
5.3.2
Sanitary Facilities and Hand Washing ....................................................... 65
5.3.3
Protective Clothing ................................................................................. 66
5.3.4
Jewelry and Personal Effects ................................................................... 66
5.3.5
Visitors ................................................................................................. 66
5.3.6
Amenities ............................................................................................. 66
5.3.7
First Aid ................................................................................................ 66
5.4
Field and Animal Husbandry Practices ............................................................. 66
5.4.1
Field Handling Practices .......................................................................... 66
5.4.2
Animal Husbandry Practices .................................................................... 66
5.5
Water Management ...................................................................................... 67
5.5.1
Water for Livestock Production ................................................................ 67
5.5.2
Treatment of Water for Livestock Production ............................................. 67
5.5.3
Water Management Plan ......................................................................... 67
5.5.4
Corrective Actions .................................................................................. 67
5.6
Storage and Transport .................................................................................. 67
5.6.1
Storage of Livestock, Animal Feed and Veterinary Medicines ....................... 67
5.6.2
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products 67
5.6.3
Transport .............................................................................................. 68
5.7
Purchase and Use of Medications, Animal Feeds, and Agricultural Chemicals........ 68
5.7.1
Purchasing Vaccines and Medications ....................................................... 68
5.7.2
Application of Animal Medicines ............................................................... 68
5.7.3
Feed Management Plan ........................................................................... 68
5.7.4
Soil Amendment .................................................................................... 69
5.7.5
Agricultural Chemicals ............................................................................ 69
5.8
Stock Identification and Traceability ............................................................... 69
5.8.1
Living Stock Records .............................................................................. 69
5.8.2
Feed Identification and Traceability .......................................................... 70
5.9
Waste Disposal ............................................................................................ 70
5.9.1
Dry, Liquid Waste Disposal ...................................................................... 70
5.9.2
Liquid Waste ......................................................................................... 70
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
5
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
Module 6:
Food Safety Fundamentals – Good Aquaculture Practices for
Farming of Fish (GFSI All) .................................................................................... 71
6.1
Location and Layout of Structures and Vessels................................................. 71
6.1.1
Aquaculture Sites ................................................................................... 71
6.1.2
Vessels and Structures ........................................................................... 71
6.2
Secure Housing of Fish Stock, Feed, and Equipment ......................................... 71
6.2.1
Site Access and Security ......................................................................... 71
6.2.2
Buildings used for Storage of Feed, Chemicals, and Equipment .................... 71
6.2.3
Machinery, Conveyors, Harvesting and Processing Equipment Construction and
Storage 71
6.2.4
Vehicles, Equipment and Utensils ............................................................. 72
6.2.5
Maintenance Protocol ............................................................................. 72
6.2.6
Calibration of Equipment......................................................................... 72
6.2.7
Pest and Vermin Management ................................................................. 72
6.2.8
Animal Control....................................................................................... 72
6.2.9
Cleaning and Sanitation .......................................................................... 72
6.3
Personal Hygiene and Welfare ....................................................................... 73
6.3.1
Personnel Practices ................................................................................ 73
6.3.2
Sanitary Facilities and Hand Washing ....................................................... 73
6.3.3
Protective Clothing ................................................................................. 73
6.3.4
Jewelry and Personal Effects ................................................................... 73
6.3.5
Visitors ................................................................................................. 73
6.3.6
Amenities ............................................................................................. 74
6.3.7
First Aid ................................................................................................ 74
6.4
Aquaculture and Fish Handling Practices ......................................................... 74
6.4.1
Product Handling Practices ...................................................................... 74
6.4.2
Aquaculture Practices ............................................................................. 74
6.5
Water Management ...................................................................................... 74
6.5.1
Water for Aquaculture ............................................................................ 74
6.5.2
Water Treatment ................................................................................... 74
6.5.3
Water Management Plan ......................................................................... 74
6.5.4
Corrective Actions .................................................................................. 75
6.5.5
Water/Ice used In Cleaning, Storage, and Transport .................................. 75
6.6
Storage and Transport .................................................................................. 75
6.6.1
Storage of Harvested Stock, Feed and Veterinary Medicines ........................ 75
6.6.2
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products 75
6.6.3
Transport .............................................................................................. 76
6.7
Purchase and Use of Medications, Aquaculture Feeds, and Aquaculture Chemicals 76
6.7.1
Purchasing Medications ........................................................................... 76
6.7.2
Application of Aquaculture Medicines ........................................................ 76
6.7.3
Feed Management Plan ........................................................................... 76
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
6
The SQF Code, Edition 7
First published May 1995
6.7.4
Part A: Implementing and Maintaining the SQF
Code
Purchase and Use of Chemicals................................................................ 77
6.8
Stock Identification and Traceability ............................................................... 77
6.8.1
Living Stock Records .............................................................................. 77
6.8.2
Feed Identification and Traceability .......................................................... 77
6.8.3
Harvested Stock Records ........................................................................ 77
6.9
Waste Disposal ............................................................................................ 77
6.9.1
Dry Waste Disposal ................................................................................ 77
6.9.2
Liquid Waste ......................................................................................... 77
Module 7:
Food Safety Fundamentals – Good Agricultural Practices for
Farming of Plant Products (GFSI Bl) .................................................................... 78
7.1
Site Requirements........................................................................................ 78
7.1.1
Property Location ................................................................................... 78
7.2
Product Handling and Storage Areas and Equipment......................................... 78
7.2.1
Field and Storage Buildings ..................................................................... 78
7.2.2
Glasshouses, Hydroponics ....................................................................... 78
7.2.3
Chillers and Cold Storage ........................................................................ 78
7.2.4
Storage of Dry Ingredient, Packaging and Utensils ..................................... 79
7.2.5
Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction and
Storage 79
7.2.6
Vehicles, Equipment and Utensils ............................................................. 79
7.2.7
Maintenance Protocol ............................................................................. 79
7.2.8
Calibration of Equipment......................................................................... 79
7.2.9
Pest and Vermin Management ................................................................. 79
7.2.10 Animal Control....................................................................................... 80
7.2.11 Cleaning and Sanitation .......................................................................... 80
7.3
Personal Hygiene and Welfare ....................................................................... 80
7.3.1
Personnel Practices ................................................................................ 80
7.3.2
Sanitary Facilities and Hand Washing ....................................................... 80
7.3.3
Protective Clothing ................................................................................. 80
7.3.4
Jewelry and Personal Effects ................................................................... 81
7.3.5
Visitors ................................................................................................. 81
7.3.6
Amenities ............................................................................................. 81
7.3.7
First Aid ................................................................................................ 81
7.4
Field Packaging and Handling Practices ........................................................... 81
7.4.1
Field Packing Personal Practices ............................................................... 81
7.5
Water Management ...................................................................................... 81
7.5.1
Water System Description ....................................................................... 81
7.5.2
Irrigation Water ..................................................................................... 81
7.5.3
Treatment of Irrigation Water .................................................................. 82
7.5.4
Water System Risk Assessment ............................................................... 82
7.5.5
Water Management Plan ......................................................................... 82
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
7
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
7.5.6
Corrective Actions .................................................................................. 82
7.5.7
Ice ....................................................................................................... 82
7.5.8
Harvest Assessment Water/Ice ................................................................ 82
7.6
Storage and Transport .................................................................................. 82
7.6.1
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products 82
7.6.2
Transport .............................................................................................. 83
7.6.3
Transport from Field to Packhouse ........................................................... 83
7.7
Soil Management ......................................................................................... 83
7.7.1
Use of Fertilizers (Soil Amendments) ........................................................ 83
7.7.2
Soil Amendment .................................................................................... 83
7.7.3
Purchasing Chemicals ............................................................................. 83
7.7.4
Agricultural Chemicals ............................................................................ 83
7.8
Harvesting .................................................................................................. 84
7.8.1
Pre-harvest Assessment ......................................................................... 84
7.8.2
Foreign Matter and Glass Procedures ........................................................ 84
7.9
Waste Disposal ............................................................................................ 84
7.9.1
Dry, Liquid and Unsanitary Waste Disposal ................................................ 84
Module 8:
Food Safety Fundamentals – Good Agricultural Practices for
Farming of Grains and Pulses (GFSI Bll) .............................................................. 85
8.1
Site Requirements........................................................................................ 85
8.1.1
Property Location ................................................................................... 85
8.2
Product Handling and Storage Areas and Equipment......................................... 85
8.2.1
Field and Storage Buildings ..................................................................... 85
8.2.2
Storage of dry ingredient, packaging and utensils ...................................... 85
8.2.3
Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction and
Storage 85
8.2.4
Vehicles, Equipment and Utensils ............................................................. 85
8.2.5
Maintenance Protocol ............................................................................. 86
8.2.6
Calibration of Equipment......................................................................... 86
8.2.7
Pest and Vermin Management ................................................................. 86
8.2.8
Animal Control....................................................................................... 86
8.2.9
Cleaning and Sanitation .......................................................................... 86
8.3
Personal Hygiene and Welfare ....................................................................... 86
8.3.1
Personnel Practices ................................................................................ 86
8.3.2
Sanitary Facilities and Hand Washing ....................................................... 87
8.3.3
Protective Clothing ................................................................................. 87
8.3.4
Jewelry and Personal Effects ................................................................... 87
8.3.5
Visitors ................................................................................................. 87
8.3.6
Amenities ............................................................................................. 87
8.3.7
First Aid ............................................................................................... 87
8.4
Field Packaging and Handling Practices ........................................................... 88
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
8
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
8.5
Water Management ...................................................................................... 88
8.5.1
Water System Description ....................................................................... 88
8.5.2
Irrigation Water ..................................................................................... 88
8.5.3
Treatment of Irrigation Water .................................................................. 88
8.5.4
Water System Risk Assessment ............................................................... 88
8.5.5
Water Management Plan ......................................................................... 88
8.5.6
Corrective Actions .................................................................................. 89
8.6
Storage and Transport .................................................................................. 89
8.6.1
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products 89
8.6.2
Transport .............................................................................................. 89
8.6.3
Transport from Field ............................................................................... 89
8.7
Soil Management ......................................................................................... 89
8.7.1
Use of Fertilizers (Soil Amendments) ........................................................ 89
8.7.2
Soil Amendment .................................................................................... 89
8.7.3
Purchasing Chemicals ............................................................................. 90
8.7.4
Agricultural Chemicals ............................................................................ 90
8.8
Harvesting .................................................................................................. 90
8.8.1
Pre-harvest Assessment ......................................................................... 90
8.8.2
Foreign Matter and Glass Procedures ........................................................ 90
8.9
Waste Disposal ............................................................................................ 91
8.9.1
Dry, Liquid and Unsanitary Waste Disposal ................................................ 91
Module 9: Food Safety Fundamentals – Good Manufacturing Practices for Preprocessing of Animal Products (GFSI C) ............................................................... 92
9.1
Site Requirements and Approval .................................................................... 92
9.1.1
Premises Location .................................................................................. 92
9.1.2
Construction and Operational Approval ..................................................... 92
9.2
Construction and Control of Product Handling and Storage Areas ...................... 92
9.2.1
Housing of Livestock .............................................................................. 92
9.2.2
Facility Materials and Surfaces ................................................................. 92
9.2.3
Floors, Drains and Waste Traps ............................................................... 92
9.2.4
Walls, Partitions, Doors and Ceilings......................................................... 92
9.2.5
Stairs, Catwalks and Platforms ................................................................ 93
9.2.6
Lighting and Light Fittings ....................................................................... 93
9.2.7
Inspection Area ..................................................................................... 93
9.2.8
Dust, Fly and Vermin Proofing ................................................................. 93
9.2.9
Ventilation ............................................................................................ 93
9.2.10 Premises and Equipment Maintenance ...................................................... 93
9.2.11 Calibration ............................................................................................ 94
9.2.12 Management of Pests and Vermin ............................................................ 94
9.2.13 Equipment, Utensils and Protective Clothing .............................................. 95
9.2.14 Cleaning and Sanitation .......................................................................... 95
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
9
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
9.3
Personnel Hygiene and Welfare ...................................................................... 96
9.3.1
Personnel .............................................................................................. 96
9.3.2
Hand Washing ....................................................................................... 96
9.3.3
Clothing ................................................................................................ 96
9.3.4
Jewelry and Personal Effects ................................................................... 96
9.3.5
Visitors ................................................................................................. 96
9.3.6
Staff Amenities ...................................................................................... 96
9.3.7
Change Rooms ...................................................................................... 97
9.3.8
Laundry ................................................................................................ 97
9.3.9
Sanitary Facilities................................................................................... 97
9.3.10 Lunch Rooms ........................................................................................ 97
9.3.11 First Aid ................................................................................................ 97
9.4
Site Practices............................................................................................... 97
9.4.1
Animal Husbandry .................................................................................. 97
9.4.2
Slaughtering and Butchering ................................................................... 97
9.4.3
Staff Engaged in Product Handling, Processing and Packaging Operations ..... 98
9.5
Water Supply .............................................................................................. 98
9.5.1
Water Supply ........................................................................................ 98
9.5.2
Monitoring Water Microbiology and Quality ................................................ 98
9.5.3
Water Delivery ...................................................................................... 98
9.5.4
Water Treatment ................................................................................... 98
9.5.5
Ice Supply ............................................................................................ 98
9.5.6
Analysis ................................................................................................ 98
9.5.7
Air Quality ............................................................................................ 99
9.6
Storage and Transport .................................................................................. 99
9.6.1
Animal Transport ................................................................................... 99
9.6.2
Pens and Yards ...................................................................................... 99
9.6.3
Chilling of Product, Cool Storage, and Cold Storage .................................... 99
9.6.4
Storage of Dry Ingredient, Packaging, and Shelf Stable Packaged Goods ...... 99
9.6.5
Storage of Equipment and Containers ....................................................... 99
9.6.6
Storage of Hazardous Chemicals and Toxic Substances ............................... 99
9.6.7
Alternative Storage and Handling of Goods ............................................. 100
9.6.8
Loading, Transport and Unloading Practices............................................. 100
9.6.9
Loading .............................................................................................. 100
9.6.10 Transport ............................................................................................ 100
9.6.11 Unloading ........................................................................................... 100
9.7
Separation of Functions .............................................................................. 100
9.7.1
Process Flow ....................................................................................... 100
9.7.2
Receipt of Raw and Packaging Materials and Ingredients ........................... 100
9.7.3
High Risk Areas ................................................................................... 100
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
10
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
9.7.4
Control of Foreign Matter Contamination ................................................. 100
9.7.5
Detection of Foreign Objects ................................................................. 101
9.7.6
Managing Foreign Matter Contamination Incidents ................................... 101
9.8
On-Site Laboratories .................................................................................. 101
9.9
Waste Disposal .......................................................................................... 101
9.9.1
Dry and Liquid Waste Disposal ............................................................... 101
9.10
Exterior ................................................................................................. 102
9.10.1 Grounds and Roadways ........................................................................ 102
Module 10: Food Safety Fundamentals – Good Manufacturing Practices for Preprocessing of Plant Products (GFSI D) ............................................................... 103
10.1
Site Requirements and Approval ............................................................... 103
10.1.1 Premises Location ................................................................................ 103
10.1.2 Construction and Operational Approval ................................................... 103
10.2
Construction and Control of Product Handling and Storage Areas .................. 103
10.2.1 Materials and Surfaces ......................................................................... 103
10.2.2 Floors, Drains and Waste Traps ............................................................. 103
10.2.3 Walls, Partitions, Doors and Ceilings....................................................... 103
10.2.4 Stairs, Catwalks and Platforms .............................................................. 103
10.2.5 Lighting and Light Fittings ..................................................................... 103
10.2.6 Inspection Area ................................................................................... 104
10.2.7 Dust, Fly and Vermin Proofing ............................................................... 104
10.2.8 Ventilation .......................................................................................... 104
10.2.9 Premises and Equipment Maintenance .................................................... 104
10.2.10
Calibration ....................................................................................... 104
10.2.11
Management of Pests and Vermin ....................................................... 105
10.2.12
Equipment, Utensils and Protective Clothing ......................................... 105
10.2.13
Cleaning and Sanitation ..................................................................... 106
10.3
Personnel Hygiene and Welfare ................................................................. 106
10.3.1 Personnel ............................................................................................ 106
10.3.2 Hand Washing ..................................................................................... 106
10.3.3 Clothing .............................................................................................. 107
10.3.4 Jewelry and Personal Effects ................................................................. 107
10.3.5 Visitors ............................................................................................... 107
10.3.6 Staff Amenities .................................................................................... 107
10.3.7 Change Rooms .................................................................................... 107
10.3.8 Laundry .............................................................................................. 107
10.3.9 Sanitary Facilities................................................................................. 107
10.3.10
Lunch Rooms ................................................................................... 108
10.3.11
First Aid ........................................................................................... 108
10.4
Personnel Processing Practices.................................................................. 108
10.4.1 Staff Engaged in Product Handling, Processing and Packaging Operations ... 108
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11
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
10.5
Water, Ice, and Air Supply ....................................................................... 108
10.5.1 Water Supply ...................................................................................... 108
10.5.2 Monitoring Water Microbiology and Quality .............................................. 108
10.5.3 Water Delivery .................................................................................... 109
10.5.4 Water Treatment ................................................................................. 109
10.5.5 Ice Supply .......................................................................................... 109
10.5.6 Analysis .............................................................................................. 109
10.5.7 Air Quality .......................................................................................... 109
10.6
Storage and Transport ............................................................................. 109
10.6.1 Cold Storage, Controlled Atmosphere Storage and Chilling of Foods ........... 109
10.6.2 Storage of Dry Ingredient, Packaging and Shelf Stable Packaged Goods ..... 109
10.6.3 Storage of Equipment and Containers ..................................................... 109
10.6.4 Storage of Hazardous Chemicals and Toxic Substances ............................. 109
10.6.5 Alternative Storage and Handling of Goods ............................................. 110
10.6.6 Loading, Transport and Unloading Practices............................................. 110
10.6.7 Loading .............................................................................................. 110
10.6.8 Transport ............................................................................................ 110
10.6.9 Unloading ........................................................................................... 110
10.7
Separation of Functions ........................................................................... 110
10.7.1 Process Flow ....................................................................................... 110
10.7.2 Receipt of Raw and Packaging Materials and Ingredients ........................... 110
10.7.3 High Risk Processes ............................................................................. 110
10.7.4 Control of Foreign Matter Contamination ................................................. 111
10.7.5 Detection of Foreign Objects ................................................................. 111
10.7.6 Managing Foreign Matter Contamination Incidents ................................... 111
10.8
On-Site Laboratories ............................................................................... 111
10.9
Waste Disposal ....................................................................................... 112
10.9.1 Dry and Liquid Waste Disposal ............................................................... 112
10.10 Exterior ................................................................................................. 112
10.10.1
Grounds and Roadways ................................................................ 112
Module 11: Food Safety Fundamentals – Good Manufacturing Practices for
Processing of Food Products (GFSI El, Ell, Elll, ElV and L) .................................. 113
11.1
Site Requirements and Approval ............................................................... 113
11.1.1 Premises Location ................................................................................ 113
11.1.2 Construction and Operational Approval ................................................... 113
11.2
Construction and Control of Product Handling and Storage Areas .................. 113
11.2.1 Materials and Surfaces ......................................................................... 113
11.2.2 Floors, Drains and Waste Traps ............................................................. 113
11.2.3 Walls, Partitions, Doors and Ceilings....................................................... 113
11.2.4 Stairs, Catwalks and Platforms .............................................................. 114
11.2.5 Lighting and Light Fittings ..................................................................... 114
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
12
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
11.2.6 Inspection Area ................................................................................... 114
11.2.7 Dust, Fly and Vermin Proofing ............................................................... 114
11.2.8 Ventilation .......................................................................................... 114
11.2.9 Premises and Equipment Maintenance .................................................... 114
11.2.10
Calibration ....................................................................................... 115
11.2.11
Management of Pests and Vermin ....................................................... 115
11.2.12
Equipment, Utensils and Protective Clothing ......................................... 116
11.2.13
Cleaning and Sanitation ..................................................................... 116
11.3
Personnel Hygiene and Welfare ................................................................. 117
11.3.1 Personnel ............................................................................................ 117
11.3.2 Hand Washing ..................................................................................... 117
11.3.3 Clothing .............................................................................................. 117
11.3.4 Jewelry and Personal Effects ................................................................. 117
11.3.5 Visitors ............................................................................................... 117
11.3.6 Staff Amenities .................................................................................... 118
11.3.7 Change Rooms .................................................................................... 118
11.3.8 Laundry .............................................................................................. 118
11.3.9 Sanitary Facilities................................................................................. 118
11.3.10
Lunch Rooms ................................................................................... 118
11.3.11
First Aid ........................................................................................... 118
11.4
Personnel Processing Practices.................................................................. 118
11.4.1 Staff Engaged in Food Handling and Processing Operations ....................... 118
11.5
Water, Ice and Air Supply ........................................................................ 119
11.5.1 Water Supply ...................................................................................... 119
11.5.2 Monitoring Water Microbiology and Quality .............................................. 119
11.5.3 Water Delivery .................................................................................... 119
11.5.4 Water Treatment ................................................................................. 119
11.5.5 Ice Supply .......................................................................................... 119
11.5.6 Analysis .............................................................................................. 119
11.5.7 Air Quality .......................................................................................... 119
11.6
Storage and Transport ............................................................................. 119
11.6.1 Cold Storage, Freezing and Chilling of Foods ........................................... 119
11.6.2 Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods ... 120
11.6.3 Storage of Equipment and Containers ..................................................... 120
11.6.4 Storage of Hazardous Chemicals and Toxic Substances ............................. 120
11.6.5 Alternative Storage and Handling of Goods ............................................. 120
11.6.6 Loading, Transport and Unloading Practices............................................. 120
11.6.7 Loading .............................................................................................. 120
11.6.8 Transport ............................................................................................ 121
11.6.9 Unloading ........................................................................................... 121
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
13
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
11.7
Separation of Functions ........................................................................... 121
11.7.1 Process Flow ....................................................................................... 121
11.7.2 Receipt of Raw and Packaging Materials and Ingredients ........................... 121
11.7.3 Thawing of Product .............................................................................. 121
11.7.4 High Risk Processes ............................................................................. 121
11.7.5 Control of Foreign Matter Contamination ................................................. 121
11.7.6 Detection of Foreign Objects ................................................................. 122
11.7.7 Managing Foreign Matter Contamination Incidents ................................... 122
11.8
On-Site Laboratories ............................................................................... 122
11.8.1 Location.............................................................................................. 122
11.9
Waste Disposal ....................................................................................... 122
11.9.1 Dry and Liquid Waste Disposal ............................................................... 122
11.10 Exterior ................................................................................................. 122
11.10.1 Grounds and Roadways ..................................................................... 122
Module 12: Food Safety Fundamentals – Good Distribution Practices for Transport
and Distribution of Food Products (GFSI Jl, and Jll) ........................................... 124
12.1
Site Requirements and Approval ............................................................... 124
12.1.1 Premises Location ................................................................................ 124
12.1.2 Construction and Operational Approval ................................................... 124
12.2
Construction and Control of Product Handling and Storage Areas .................. 124
12.2.1 Materials and Surfaces ......................................................................... 124
12.2.2 Floors, Drains and Waste Traps ............................................................. 124
12.2.3 Walls, Partitions, Doors and Ceilings....................................................... 124
12.2.4 Lighting and Light Fittings ..................................................................... 124
12.2.5 Dust, Fly and Vermin Proofing ............................................................... 124
12.2.6 Ventilation .......................................................................................... 125
12.2.7 Premises and Equipment Maintenance .................................................... 125
12.2.8 Calibration .......................................................................................... 125
12.2.9 Management of Pests and Vermin .......................................................... 125
12.2.10
Equipment, Utensils and Protective Clothing ......................................... 126
12.2.11
Cleaning and Sanitation ..................................................................... 126
12.3
Personnel Hygiene and Welfare ................................................................. 127
12.3.1 Personnel ............................................................................................ 127
12.3.2 Hand Washing ..................................................................................... 127
12.3.3 Clothing .............................................................................................. 127
12.3.4 Jewelry and Personal Effects ................................................................. 127
12.3.5 Visitors ............................................................................................... 127
12.3.6 Staff Amenities .................................................................................... 127
12.3.7 Change Rooms .................................................................................... 127
12.3.8 Sanitary Facilities................................................................................. 128
12.3.9 Lunch Rooms ...................................................................................... 128
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14
The SQF Code, Edition 7
First published May 1995
12.3.10
Part A: Implementing and Maintaining the SQF
Code
First Aid ........................................................................................... 128
12.4
Personnel Processing Practices.................................................................. 128
12.4.1 Staff Engaged in Food Handling Operations ............................................. 128
12.5
Storage and Transport ............................................................................. 128
12.5.1 Cold and Chilled Storage ....................................................................... 128
12.5.2 Storage of Shelf Stable Packaged Goods ................................................. 128
12.5.3 Storage of Equipment and Containers ..................................................... 129
12.5.4 Storage of Hazardous Chemicals and Toxic Substances ............................. 129
12.5.5 Alternative Storage and Handling of Goods ............................................. 129
12.5.6 Loading, Transport and Unloading Practices............................................. 129
12.5.7 Loading .............................................................................................. 129
12.5.8 Transport ............................................................................................ 129
12.5.9 Unloading ........................................................................................... 129
12.6
Control of Foreign Matter Contamination .................................................... 129
12.6.1 Control of Foreign Matter ...................................................................... 129
12.6.2 Managing Foreign Matter Contamination Incidents ................................... 130
12.7
Waste Disposal ....................................................................................... 130
12.7.1 Dry and Liquid Waste Disposal ............................................................... 130
12.8
Exterior ................................................................................................. 130
12.8.1 Grounds and Roadways ........................................................................ 130
Module 13: Food Safety Fundamentals – Good Manufacturing Practices for
Production of Food Packaging (GFSI Scope M) ................................................... 131
13.1
Site Requirements and Approval ............................................................... 131
13.1.1 Premises Location ................................................................................ 131
13.1.2 Construction and Operational Approval ................................................... 131
13.2
Construction and Control of Product Handling and Storage Areas .................. 131
13.2.1 Materials and Surfaces ......................................................................... 131
13.2.2 Floors, Drains and Waste Traps ............................................................. 131
13.2.3 Walls, Partitions, Doors and Ceilings....................................................... 131
13.2.4 Lighting and Light Fittings ..................................................................... 131
13.2.5 Dust, Fly and Vermin Proofing ............................................................... 131
13.2.6 Ventilation .......................................................................................... 131
13.2.7 Premises and Equipment Maintenance .................................................... 131
13.2.8 Calibration .......................................................................................... 132
13.2.9 Management of Pests and Vermin .......................................................... 132
13.2.10
Equipment, Utensils and Protective Clothing ......................................... 133
13.2.11
Cleaning and Sanitation ..................................................................... 133
13.3
Personnel Hygiene and Welfare ................................................................. 133
13.3.1 Personnel ............................................................................................ 133
13.3.2 Hand Washing ..................................................................................... 134
13.3.3 Clothing .............................................................................................. 134
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
15
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
13.3.4 Jewelry and Personal Effects ................................................................. 134
13.3.5 Visitors ............................................................................................... 134
13.3.6 Staff Amenities .................................................................................... 134
13.3.7 Change Rooms .................................................................................... 134
13.3.8 Sanitary Facilities................................................................................. 134
13.3.9 Lunch Rooms ...................................................................................... 135
13.3.10
First Aid ........................................................................................... 135
13.4
Personnel Practices ................................................................................. 135
13.4.1 Staff Engaged in Handling of Food Contact Packaging ............................... 135
13.5
Water and Air Supply .............................................................................. 135
13.5.1 Water Supply ...................................................................................... 135
13.5.2 Monitoring Water Microbiology and Quality .............................................. 135
13.5.3 Water Delivery .................................................................................... 135
13.5.4 Air Quality .......................................................................................... 135
13.6
Storage and Transport ............................................................................. 135
13.6.1 Storage of Food Contact Packaging ........................................................ 135
13.6.2 Storage of Equipment ........................................................................... 136
13.6.3 Storage of Hazardous Chemicals and Toxic Substances ............................. 136
13.6.4 Alternative Storage and Handling of Goods ............................................. 136
13.6.5 Loading, Transport and Unloading Practices............................................. 136
13.6.6 Loading/Unloading ............................................................................... 136
13.7
Separation of Functions ........................................................................... 136
13.7.1 Process Flow ....................................................................................... 136
13.7.2 Control of Foreign Matter ...................................................................... 136
13.7.3 Managing Foreign Matter Contamination Incidents ................................... 136
13.8
Waste Disposal ....................................................................................... 136
13.8.1 Dry and Liquid Waste Disposal ............................................................... 136
13.9
Exterior ................................................................................................. 137
13.9.1 Grounds and Roadways ........................................................................ 137
Module 14: Food Safety Fundamentals – Good Manufacturing Practices for Food
Brokers and Agents (GFSI Scope N) ................................................................... 138
Module 15:
Food Safety Fundamentals: - Good Manufacturing Practices for
Food Catering, Wholesale and Retail (GFSI G, H) ............................................... 139
Module 16:
Site
16.1
16.2
16.3
16.4
16.5
16.6
16.7
16.8
Requirements for SQF Multi-site Programs Managed by a Central
140
Scope .................................................................................................... 140
Definitions ............................................................................................. 140
Eligibility Criteria for the Multi-site Organization.......................................... 140
Internal Audits........................................................................................ 140
Internal Audit Personnel .......................................................................... 140
Auditing and Certifying the Multi-site Organization ...................................... 141
Audit Frequency ...................................................................................... 141
Selecting the Sub-site ............................................................................. 141
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
16
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
16.9
Determining the Size of the Sub-sites Sample ............................................ 141
16.10 Additional Sub-sites ................................................................................ 142
16.11 Dealing with Non-conformities .................................................................. 142
16.12 Certificate Issued for a Multi-site Organization ............................................ 142
16.13 Quality Shield Issued for a Multi-site Organization ....................................... 142
Appendix 1: SQF Food Sector Categories ............................................................ 143
Appendix 2: Glossary of Terms ........................................................................... 149
Appendix 3: SQF Quality Shield and Logo Rules of Use ....................................... 154
SQF Quality Shield .............................................................................................. 154
1 Introduction .............................................................................................. 154
2
Conditions for Use ...................................................................................... 154
3
Reproduction ............................................................................................. 154
4
Obligations of a Supplier for Use .................................................................. 154
5
Suspension or Withdrawal of Approval to Use the SQF Quality Shield................ 155
6
Withdrawn Certification............................................................................... 155
7
Disclaimer ................................................................................................. 155
SCHEDULE 1:
REPRODUCTION REQUIREMENTS FOR THE SQF QUALITY SHIELD 156
SQF Logo ........................................................................................................... 159
1 Introduction .............................................................................................. 159
2
Conditions for Use ...................................................................................... 159
3
Reproduction ............................................................................................. 159
4
Obligations of a Supplier ............................................................................. 159
5
Grounds for Suspending or Ceasing Use of the SQF Logo ................................ 160
6
Disclaimer ................................................................................................. 160
SCHEDULE 2:
REPRODUCTION REQUIREMENTS FOR THE SQF LOGO................ 161
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
17
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
Part A: Implementing and Maintaining the SQF
Code
1.
Preparing for SQF Certification
Figure 1: Steps in Preparing for SQF Certification
1.6 SQF Implementation Training
(optional)
1.1 Learn about the SQF Code
1.2 Select the Relevant SQF Modules
1.3 Register on the SQF Assessment
Database
1.6 SQF Implementation Training
(recommended)
1.5 Designate an SQF Practitioner
1.7 Select the Certification level
1.4. Use of SQF Consultants
(optional)
1.8 Document and Implement the SQF
Code
1.9 SQF Guidance Documents
(recommended)
1.10 Select a Certification Body
1.11 Conduct a Pre-assessment
(recommended)
1.1
Learn about the SQF Code
There are several ways to learn how to implement the SQF Code within your food business. The following options
are available:
•
Attend an “Implementing SQF Systems” training course (refer to 1.6) through a licensed SQF Training
Center (recommended);
•
Take the online “Implementing SQF Systems” training course available from www.sqfi.com;
•
Train yourself by downloading the SQF Code from www.sqfi.com free of charge, and read how to apply it
to your industry sector;
•
and/or take the SQF online exam.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
18
The SQF Code, Edition 7
First published May 1995
1.2
Part A: Implementing and Maintaining the SQF
Code
Select the Relevant SQF Modules
SQFI recognizes that food safety practices differ depending on the food safety risk to the product and the process, and has
designed the Code to meet the individual requirements of each industry sector. The supplier can select the relevant
modules by visiting the SQF website www.sqfi.com, select The SQF Code, and select the relevant industry sector(s). Note
that Module 2: SQF System Elements applies to all industry sectors.
The SQF food sector categories and applicable modules are listed in Table 1. A more detailed list with description,
examples, level of risk, and the relationship with the GFSI industry scopes, is provided in Appendix 1.
Table 1: SQF Food Sector Categories and Applicable Modules
SQF Food
Sector
Category
(FSC)
Category
(Supplier Scope of Certification)
Applicable SQF Code Modules
1
Production, Capture and Harvesting of
Livestock and Game Animals
Module 2: System elements
Module 5: GAP for farming of animal products
2
Growing and Harvesting of Animal
Feeds
Module 2: System elements
Module 3: GAP for single feed production
3
Growing and Production of Fresh
Produce
Module 2: System elements
Module 7: GAP for farming of plant products (fruit
and vegetables)
4
Fresh Produce Packhouse Operations
Module 2: System elements
Module 10: GMP for pre-processing of plant products
5
Extensive Broad Acre Agriculture
Operations
Module 2: System elements
Module 8: GAP for farming of grains and pulses
6
Harvest and Intensive Farming of Fish
Module 2: System elements
Module 6: GAP for farming of fish
7
Slaughterhouse, Boning and Butchery
Operations
Module 2: System elements
Module 9: GMP for pre-processing of animal products
8
Processing of Manufactured Meats and
Poultry
Module 2: System elements
Module 11: GMP for processing of food products
9
Seafood Processing
Module 2: System elements
Module 11: GMP for processing of food products
10
Dairy Food Processing
Module 2: System elements
Module 11: GMP for processing of food products
11
Honey Processing
Module 2: System elements
Module 11: GMP for processing of food products
12
Egg Processing
Module 2: System elements
Module 11: GMP for processing of food products
13
Bakery and Snack Food Processing
Module 2: System elements
Module 11: GMP for processing of food products
14
Fruit and Vegetable Processing
Module 2: System elements
Module 11: GMP for processing of food products
15
Canning, Pasteurizing, UHT and
Aseptic Operations
Module 2: System elements
Module 11: GMP for processing of food products
16
Ice, Drink and Beverage Processing
Module 2: System elements
Module 11: GMP for processing of food products
17
Confectionary Manufacturing
Module 2: System elements
Module 11: GMP for processing of food products
18
Preserved Foods Manufacture
Module 2: System elements
Module 11: GMP for processing of food products
19
Food Ingredient Manufacture
Module 2: System elements
Module 11: GMP for processing of food products
20
Recipe Meals Manufacture
Module 2: System elements
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
19
The SQF Code, Edition 7
First published May 1995
SQF Food
Sector
Category
(FSC)
Part A: Implementing and Maintaining the SQF
Code
Category
(Supplier Scope of Certification)
Applicable SQF Code Modules
Module 11: GMP for processing of food products
21
Oils, Fats, and the Manufacture of Oil
or Fat-based Spreads
Module 2: System elements
Module 11: GMP for processing of food products
22
Processing of Cereal Grains and Nuts
Module 2: System elements
Module 11: GMP for processing of food products
23
Food Catering and Food Service
Operations
Not available1
24
Food Retailing
Not available1
25
Fresh Produce Wholesaling and
Distribution
Module 2: System elements
Module 12: GMP for transport and distribution of food
products
26
Food Wholesaling and Distribution
Module 2: System elements
Module 12: GMP for transport and distribution of food
products
27
Manufacture of Food Sector Packaging
Materials
Module 2: System elements
Module 13: GMP for production of food packaging
28
Provision of Crop Spray Services
Not available1
29
Provision of Field Harvest Services
Not available1
30
Provision of Sanitation and Hygiene
Services
Not available1
31
Manufacture of Dietary Supplements
Module 2: System elements
Module 11: GMP for processing of food products
32
Fertilizer Manufacture
Not available at this time
33
Manufacture of Agricultural Chemicals
and Food Processing Aides
Module 2: System elements
Module 11: GMP for processing of food products
34
Manufacture of Animal Feeds
Module 2: System elements
Module 4: GAP for compound feed production
35
Broker or Agent
Module 2: System elements
Module 14: GMP for brokers or agents
1.
These modules will be completed when the GFSI Guidance becomes available
Some suppliers are vertically integrated businesses and may include primary production and processing. For example,
aquaculture sites that both produce and process seafood, would select FSC 6, and 9, and be required to implement the
following modules if they require certification across the entire process:
Module 2:
System elements
Module 6:
GAP for farming of fish
Module 11: GMP for processing of food products
However if the supplier is only processing seafood, FSC 9 is the relevant industry sector, and the site will
implement the requirements of the following modules:
Module 2:
Module 11:
System elements
GMP for processing of food products
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
20
The SQF Code, Edition 7
First published May 1995
1.3
Part A: Implementing and Maintaining the SQF
Code
Register on the SQF Assessment Database
To be considered for SQF certification, suppliers are required to register on the SQF assessment database. The
database can be found at www.sqfi.com.
Registration is annual, and there is a fee per supplier site payable at registration and renewal. The fee scale is
dependent on the size of the site as determined by gross annual sales revenue. The fee scale is available on
www.sqfi.com.
Suppliers must register with SQFI prior to achieving certification, and must remain registered at all times to retain
their certification.
1.4
Use of SQF Consultants
Suppliers can choose to develop and implement their SQF System using their own qualified resources or they can
utilize the services of an SQF consultant. All SQF consultants are registered by the SQFI to work in specific food
sector categories (refer Table 1 and Appendix 1). They are issued with an identity card indicating the food sector
categories in which they are registered. Suppliers are encouraged to confirm an SQF consultant’s registration
details at www.sqfi.com before engaging their services. The criteria outlining the requirements necessary to
qualify as an SQF consultant and the application forms are available at www.sqfi.com. The SQF Consultant Code of
Practice outlines the practices expected of SQF consultants.
1.5
Designate an SQF Practitioner
Whether or not an SQF consultant is used, the SQF Code requires that every supplier have a suitably qualified SQF
practitioner on site to validate and verify the food safety fundamental requirements, food safety plans (at level 2)
and food quality plans (at level 3). The requirements for an SQF practitioner are described in 2.1.2.4 and 2.1.2.5
of the SQF Code. Some sites may choose to have more than one SQF practitioner to meet shift and operational
requirements.
1.6
SQF Implementation Training
A two-day Implementing SQF Systems Training course is available through the SQFI network of licensed training
centers. Employees who are responsible for designing, implementing and maintaining the requirements of the SQF
Code are encouraged to participate in a training course. Details about the training centers and the countries in
which they operate are available at www.sqfi.com. The dates and locations of the courses can be obtained by
contacting the training centers on www.sqfi.com.
Implementing SQF Systems training is not mandatory for SQF practitioners, but is strongly recommended.
The SQFI also has an ‘Implementing SQF Systems’ online training course which can be accessed at www.sqfi.com.
The online training solution is a web based education portal where staff can enroll and complete SQF Systems
training in their own time and at their own pace.
Training in other food industry disciplines, such as HACCP, Good Agriculture/Aquaculture/Manufacturing Practices
(GAP/GMP), and Internal Auditing may also be required and training centers can provide details of the other
training courses they provide.
1.7
Select the Certification Level
The supplier must choose one of three levels of certification, based on the needs of their customer and the stage of
development of the supplier’s food safety and quality management system. The three levels of certification are:
Level 1
Food Safety Fundamentals: An entry level for new and developing businesses covering only
GAP/GMP/GDP requirements and basic food safety elements (module 2);
Level 2
Certified HACCP Based Food Safety Plans: Incorporates all Level 1 system requirements and additionally
requires that a food safety risk analysis of the product and its associated processes has been completed to identify
the hazards and the action taken to eliminate, prevent or reduce their occurrence. System elements in module 2
at level 2 are required;
Level 3
Comprehensive Food Safety and Quality Management System: Incorporates all Level 1 and Level 2
system elements and indicates that a food quality risk analysis of the product and its associated process has been
completed, that the actions taken to prevent the incidence of poor quality have been implemented. System
elements in module 2 at level 3 are required.
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The SQF Code, Edition 7
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1.8
Part A: Implementing and Maintaining the SQF
Code
Document and Implement the SQF Code
To achieve SQF certification, the supplier must document and implement the relevant modules of the SQF Code, at
the level required (refer to 1.7). This requires a two stage process:
Document the SQF System – prepare policies, procedures, work instructions and specifications that meet the
relevant modules of the SQF Code. In other words “say what you do.”
Implement the SQF System – implement the prepared policies, procedures, work instructions and specifications,
and keep records to demonstrate compliance to the relevant modules of the SQF Code. In other words, “do what
you say”. SQFI recommends that a minimum of two months of records be available before a site audit is
conducted.
1.9
SQF Guidance Documents
Guidance documents are available for some SQF modules and food sector categories at www.sqfi.com. These
documents help the supplier interpret the requirements of the SQF Code and assist with documenting and
implementing an SQF System. They are developed with the assistance of food sector technical experts.
The guidance documents are available to assist the supplier, but are not auditable documents. Where there is a
divergence between the guidance document and the SQF Code, the SQF Code prevails.
1.10
Select a Certification Body
Certification bodies are licensed by SQFI to conduct SQF audits and issue the SQF certificate of registration. SQFI
licensed certification bodies are required to be accredited to the international standard ISO/IEC 17065 and be
subject to annual assessments of their certification activities by SQFI licensed accreditation bodies.
The supplier is required to have an agreement with a certification body in place at all times which outlines the SQF
audit and certification services provided. These include as a minimum:
i.
The scope of the audit and expected time to conduct and finalize the audit and the reporting
requirements;
ii.
The certification body’s fee structure;
iii.
The conditions under which the SQF certificate be issued, withdrawn or suspended; and
iv.
The Certification body’s appeals, complaints and disputes procedure.
A current list of licensed certification bodies is available on the SQF website www.sqfi.com and includes their
countries of operation. Certification bodies are also listed on the SQF assessment database and suppliers can
request a quote or select a certification body online once they have registered.
1.11
Conduct a Pre-assessment Audit
A pre-assessment audit is not mandatory, but is recommended to provide a ‘health check’ of the supplier’s
implemented SQF System. A pre-assessment audit can assist in identifying gaps in the supplier’s SQF System so
that corrective action can occur before engaging the selected certification body for a full certification audit. It can
be conducted using internal resources, an SQF consultant, or an SQF auditor.
Suppliers that have registered on the SQF assessment database can download an assessment checklist free of
charge to utilize in a pre-assessment audit.
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The SQF Code, Edition 7
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2.
2.1
Part A: Implementing and Maintaining the SQF
Code
The Certification Process
Selection of the SQF Auditor(s)
SQF auditors must be employed by, or contracted to, an SQFI licensed certification body, and must be registered
with the SQFI.
The certification body selects the most appropriate qualified SQF auditor for the supplier’s SQF certification audit.
The SQF auditor must be registered for the same food sector category (ies) as the supplier. The certification body
shall ensure no SQF auditor conducts audits of the same supplier for more than three consecutive certification
cycles.
The certification body must advise the supplier of the name of the SQF auditor at the time that the SQF audit is
scheduled. The supplier may check the registration and food sector category (ies) of the SQF auditor on the
register at www.sqfi.com.
2.2
Identifying the Scope of Certification
SQF certification is site and product specific. When activities are carried out in different premises but are overseen
by the same senior, operational, and technical management, and are covered by the one SQF System, the site can
be expanded to include those premises.
The scope of certification forms part of the certificate of registration. It describes the food sector categories (refer
to Appendix 1) and the products processed and handled on that site. The certificate of registration outlines the
location of the site and nature and extent of the supplier SQF certification.
If the supplier elects to exclude processes or products from the scope of certification, the excluded products shall
not be listed on the certificate of registration, and must not be promoted as being covered by the certification.
Instances where promotion of excluded products or processes are identified and substantiated (either by regular
audit or by other means) shall result in immediate withdrawal of the SQF certification.
2.3
The Certification Audit
The SQF certification audit consists of two stages:
i.
The desk audit is undertaken to verify that the supplier’s SQF System documentation meets the
requirements of the SQF Code.
ii.
The facility audit is conducted on site and determines the effective implementation of the supplier’s
documented SQF System.
Where a supplier operates under seasonal conditions (a period in which the major activity is conducted over five
consecutive months or less) the certification audit shall be completed within thirty (30) days from the start of the
season.
2.4
Identifying the Scope of the Audit
The supplier and the certification body shall agree on the audit scope before the certification audit begins. The
scope of the audit shall cover the required level of certification (refer to module 2), the food sector categories, and
the products listed under the scope of certification for a site. The audit scope shall cover all processes under the
control of the supplier including from raw material receipt to shipment of finished product.
Once the audit scope is agreed between the supplier and the certification body, it cannot be changed once the
audit has commenced.
2.5
Audit Duration Guide
Once the certification body and supplier have agreed on the scope of certification, the number of different
processes and products manufactured and handled on the site, the certification body shall provide the supplier with
an estimate of the time it will take to complete the certification audit.
The audit times will vary according to the size and complexity of the site operations. Factors that can impact on the
audit duration includes:
i.
The scope of the audit;
ii.
The size of the site and the design of product and people flows;
iii.
The number and complexity of product lines and the overall process;
iv.
Whether the product is high or low risk;
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
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Part A: Implementing and Maintaining the SQF
Code
The SQF Code, Edition 7
First published May 1995
v.
The complexity of the SQF System design and documentation;
vi.
The level of mechanization and labor intensiveness;
vii. The ease of communication with company personnel (consider different languages spoken);
viii. The cooperation of the supplier’s personnel.
Tables 2 and 3 provide a guide to the duration of an SQF certification audit.
certification body deviates from this guide by greater than 30%.
Justification is required if the
Table 2: Desk Audit Duration Table
Standard
Basic duration (days)
SQF Level 1
0.5 days
SQF Level 2
1.0 days
SQF Level 3
1.0 days
Table 3: Facility Audit Duration Table
Step 1
Step 2
Standard
Basic duration (days)
(includes three HACCP
plans)
Additional Days based
on Number of employee
Additional Days based on
Size of Facility
SQF Level 1
1.0
1 to 200 = 0
0 – 200,000 ft2 = 0
201 to 400 = 0.5
(0 – 19,000 m2 = 0)
401 to 600 = 1.0
200,000 – 300,000 ft2 = 0.5
601 to 1000 =1.5
(19,000 – 27,000 m2 = 0.5)
SQF Level 2
SQF Level 3
1.5
2.0
Step 3
1001 to 2500 = 2.0
2501 to 4000= 2.5
> 4,000 = 3.0
300,000 – 500,000 ft2 = 1.0
(27,000 – 46,000 m2 = 1.0)
> 500,000 ft2 = 2.0
(> 46,000 m2 = 2.0)
Additional time for each
HACCP plan(s) (where
there are multiple /
different plans)
0.5 day per additional 3
HACCP plans or 3
additional
production/manufacturing
processes
In addition to audit time, the certification body shall provide the supplier with the time and expected costs for
planning, travel, report writing, and close out of non-conformities.
2.6
The Desk Audit
An independent desk audit is conducted by the certification body for initial certification. The desk audit is
conducted by a registered SQF auditor appointed by the certification body, and ensures:
i.
ii.
An appropriately qualified SQF practitioner is designated;
iii.
The food quality plan (at level 3) and the associated Critical Quality Point (CQP) determinations,
validations and verifications are appropriately documented and endorsed by the SQF practitioner;
iv.
The documented system is relevant to the scope of certification and the products processed there under.
The food safety plan (at level 2) and the associated Critical Control Point (CCP) determinations, validations
and verifications are appropriately documented and endorsed by the SQF practitioner;
The certification body shall notify the supplier of corrections or corrective action, or any aspects of the SQF System
that require improvement or adjustment. The certification body will also verify that all corrections or corrective
action for major and minor non-conformances have been addressed before proceeding with a facility audit.
2.7
The Facility Audit
The facility audit is conducted on site by the SQF auditor appointed by the certification body. It is conducted at a
time agreed between the supplier and the certification body, when the main processes are operating, and/or during
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The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
the main part of the season (if applicable). The facility audit determines if the SQF System is effectively
implemented as documented. It establishes and verifies the:
2.8
i.
Effectiveness of the SQF System in its entirety;
ii.
Food safety hazards (level 2) and food quality hazards (level 3) are effectively identified and
controlled;
iii.
Effective interaction between all elements of the SQF System; and
iv.
Level of commitment demonstrated by the supplier to maintaining an effective SQF System and to
meeting their food safety regulatory and customer requirements.
System Elements
All applicable elements of Module 2 and the relevant GAP/GMP module(s) shall be checked as part of the
certification audit. Where an element is not applicable and appropriately justified, it shall be stated so by the
auditor in the audit report.
Within module 2 the elements listed below are mandatory elements that cannot be reported as ‘not applicable’ or
‘exempt’ and must be audited and compliance/non-compliance reported. The mandatory elements are:
2.1.1
Management Policy
2.1.2
Management Responsibility
2.1.3
Food Safety and Quality Management System
2.1.4
Management Review
2.2.1
Document Control
2.2.2
Records
2.4.1
Food Legislation
2.4.2
Food Safety Fundamentals
2.4.3
Food Safety Plan (at level 2, 3)
2.4.4
Food Quality Plan (at level 3)
2.4.8
Product Release
2.5.2
Validation and Effectiveness
2.5.4
Verification and Monitoring
2.5.5
Corrective and Preventative Action
2.5.7
Internal Audit
2.6.1
Product Identification
2.6.2
Product Trace
2.6.3
Product Withdrawal and Recall
2.7.1
Food Defense
2.9.2
Training Program
Mandatory elements are designated with an “M” in Module 2 of the SQF Code.
2.9
Non-conformities
Where the SQF auditor finds deviations from the requirements of relevant modules of the SQF Code, the auditor
shall advise the supplier of the number, description, and extent of the non-conformities. Non-conformities may
also be referred to as non-conformances. Non-conformities against the SQF Code shall be graded as follows:
•
A minor non-conformity is an omission or deficiency in the SQF System that produces unsatisfactory
conditions that if not addressed may lead to a risk to food safety and quality but not likely to cause a
System element breakdown.
•
A major non-conformity is an omission or deficiency in the SQF System producing unsatisfactory
conditions that carry a food safety or quality risk and likely to result in a System element breakdown.
•
A critical non-conformity is a breakdown of control(s) at a critical control point, a pre-requisite
program, or other process step and judged likely to cause a significant public health risk and/or where
product is contaminated.
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25
The SQF Code, Edition 7
First published May 1995
•
Part A: Implementing and Maintaining the SQF
Code
A critical non-conformity is also raised if the supplier fails to take effective corrective action within the
timeframe agreed with the certification body, or if the certification body deems that there is systemic
falsification of records relating to food safety controls and the SQF System.
Critical non-conformities cannot be raised at desk audits.
Timelines for the resolution of corrective actions are addresses in Part A: 3.2 Facility Corrective Actions
2.10
Opportunities for Improvement
Opportunities for improvement are observations made by the auditor during a facility audit that identify issues that
are not non-conformances but recognize that the practices conducted by the supplier are not industry best
practice. They do not require a corrective action response by the supplier, but provide the supplier with an
opportunity to improve their SQF System.
2.11
The Audit Report
The SQFI provides the certification body with the electronic audit checklist to be used by the SQF auditors when
conducting SQF audits. The audit checklist is available from the SQF assessment database and is customized for
SQF level and industry sector. The SQF checklist is designed to ensure the uniform application of SQF audit
requirements. It is used by SQF auditors to record their findings and determine the extent to which supplier
operations comply with stated requirements.
Mandatory elements (refer 2.8) must be reported for the audit report to be submitted.
Deviations identified during the SQF audit shall be accurately described in the audit report and corrective action
requests raised which fully describe the clause of the SQF code and the reason for the non-conformity.
The electronic audit report must be completed by the SQF auditor and uploaded to the certification body for
technical review.
The certification body shall make the audit report available to the supplier within ten (10) calendar days from the
last day of the audit.
The SQF audit report shall remain the property of the certification body’s client (the supplier) and shall not be
distributed to other parties without the permission of that client.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
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Part A: Implementing and Maintaining the SQF
Code
The SQF Code, Edition 7
First published May 1995
3. The Initial Certification Decision
3.1
Responsibility for the Certification Decision
It is the responsibility of the certification body to ensure that audits undertaken by their SQF auditors are thorough,
that all requirements are fulfilled, and the audit report is complete. The certification decision shall be taken by the
certification body based on the evidence of compliance and non-conformity collected by the SQF auditor during the
SQF audit. Although SQFI provides guidance on certification, the certification body is responsible for deciding
whether or not certification is justified and granted.
Any certification decisions that are made outside the scope of this Section 3: The Certification Decision requires the
certification body to provide written justification to SQFI.
3.2
Facility Audit Corrective Actions
All non-conformities and their resolution shall be documented by the SQF auditor.
A minor non-conformity shall be corrected, verified and closed out within thirty (30) calendar days of the
completion of the facility audit. Extensions may be granted by the certification body where there is no immediate
threat to product safety and quality, and alternative, temporary methods of control are initiated. The supplier shall
be advised of the extended timeframe. Extended timeframes for close out of minor non-conformities shall not
impede and delay certificate issuance.
A major non-conformity shall be corrected and appropriate corrective action verified and closed out within fourteen
(14) calendar days of the completion of the facility audit.
In circumstances where the corrective action involves structural change or cannot be corrected due to seasonal
conditions or installation lead times, this period can be extended provided the corrective action time frame is
acceptable to the certification body and temporary action is taken by the supplier to mitigate the risk to product
safety or quality. In such cases, the non-conformity shall be closed out on the SQF database and the auditor shall
document all details of justification of the extension, how the risk is being controlled, and the agreed completion
date.
If the SQF auditor considers that a critical non-conformity exists during a facility audit, the auditor shall
immediately advise the supplier and notify the certification body. A critical non-conformity raised at a certification
audit results in an automatic failure of the audit, and the supplier must re-apply for certification (refer 3.5).
3.3
Audit Score and Rating
Based on the evidence collected by the SQF auditor, each applicable aspect of the SQF facility audit is automatically
scored when the audit report is uploaded to the SQF assessment database. Desk audits are not scored.
The calculation uses the following factors:
0
aspect meets the criteria
1
aspect does not meet the criteria due to minor variations (minor non-conformity)
10
aspect does not meet the criteria (major non-conformity)
50
aspect does not meet the criteria (critical non-conformity)
A single rating is calculated for the facility audit as (100 – N) where N is the sum of the individual rating criteria
allocated. The rating provides an indication of the overall condition of the supplier’s site against the SQF Code, and
also provides a guideline on the required level of surveillance by the certification body. The audit frequency at each
rating level is indicated as follows:
Score
96 - 100
Rating
Certification1
Audit Frequency
E - Excellent
Certificate issued
12 monthly re-certification audit
86 - 95
G – Good
Certificate issued
12 monthly re-certification audit
70 – 85
C - Complies
Certificate issued
6 monthly surveillance audit
F – Fails to comply
No certificate issued
Considered to have failed the SQF Audit
0 - 69
1.
Certification also requires that all major non-conformities are closed out within fourteen (14) calendar days and
minor non-conformities within thirty (30) calendar days, or an agreed extended timeline (refer 3.2).
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
27
The SQF Code, Edition 7
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3.4
Part A: Implementing and Maintaining the SQF
Code
Granting Certification
Certification of SQF System shall be awarded to suppliers that achieve a “C” audit rating or greater with no
outstanding non-conformities. The certification decision shall be made within forty-five (45) calendar days of the
last day of the facility audit. Once SQF certification is granted, the SQFI issues a unique certification number which
is specific to that supplier’s site.
Within ten (10) calendar days of granting certification, the certification body shall provide an electronic and/or hard
copy of the supplier’s certificate of registration to the supplier. The certificate of registration is valid for twelve
(12) months from the date the certification decision was taken, and shall be in a form approved by the SQFI.
The certificate of registration shall include:
i.
The name, address and logo of the certification body;
ii.
The logo of the accreditation body, and the certification body’s accreditation number;
iii.
The heading “Certificate of Registration”;
iv.
The phrase “(Supplier name) is registered as meeting the requirements of the SQF Code, edition 7”;
v.
The level of certification and the description;
vi.
The scope of registration – food sector category (ies) and products;
vii.
Dates of audit (last day), date of next audit, date of issue, and date of expiration;
viii.
Signatures of the authorized officer and issuing officer
ix.
SQF quality shield and logo
For level 3 suppliers, the certification body shall provide an electronic copy of the SQF quality shield containing the
certification body name and the supplier certification number.
3.5
Failure to Comply
Where a supplier achieves an “F” rating at a certification audit, the supplier is considered to have failed the SQF
audit. The supplier must then re-apply for another facility audit.
When the supplier’s re-application occurs within six months of the last audit date, and with the same certification
body, a facility audit shall be scheduled but a desk audit is not required. If the re-application occurs after six
months from the last audit date, or with a new certification body, then a desk audit and facility audit are required.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
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The SQF Code, Edition 7
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4
4.1
Part A: Implementing and Maintaining the SQF
Code
Surveillance and Recertification
Maintaining Certification
To maintain SQF certification, a supplier is required to attain a “C” audit rating or greater at re-certification audits,
ensure that surveillance and/or re-certification audits occur within the required timeframe, ensure that no critical
non-conformities are raised at surveillance or re-certification audits, and that all major and minor non-conformities
are corrected within the time frame specified.
4.2
Surveillance Audit
The surveillance audit is conducted when the supplier attains a “C” rating at a certification audit or re-certification
audit. The surveillance audit shall be conducted within thirty (30) calendar days either side of the six month
anniversary of the last day of the previous certification or re-certification Audit. There is no score or rating
calculated for surveillance audits.
The purpose of the surveillance audit is to:
i.
Verify the continued efficacy of corrections and corrective actions closed out at previous audits;
ii.
Verify that the SQF System continues to be implemented as documented;
iii.
Consider and take appropriate action where changes to the supplier’s operations are made and the
impact of those changes on the supplier’s SQF System;
iv.
Confirm continued compliance with the requirements of the SQF Code;
v.
Verify all critical steps remain under control; and
vi.
Contribute to continued improvement of the supplier’s SQF System and business operation.
Major or minor non-conformities raised at the surveillance audit shall be closed out as indicated in section 3.2.
The supplier’s certificate of registration shall be suspended by the certification body if:
4.3
i.
The supplier fails to permit the surveillance audit within the required timeframe;
ii.
A critical non-conformity is raised at the surveillance audit, or
iii.
The supplier fails to close out major or minor non-conformities within the agreed timeframe.
Recertification Audit
The re-certification audit of the SQF System is undertaken to verify the continued effectiveness of the supplier’s
SQF Systems in its entirety.
The re-certification audit shall be conducted within thirty (30) calendar days either side of the anniversary of the
last day of the initial certification audit. The re-certification audit score is calculated in the same way as the initial
certification audit, and the same rating applied (refer to section 3.3).
In exceptional circumstances such as operational or seasonal requirements, the re-certification date may be moved
earlier than the anniversary by mutual agreement between the supplier and the certification body, and the new
recertification date fixed as the new initial certification audit date.
The purpose of the re-certification audit is to:
i.
Verify the continued efficacy of corrections and corrective actions closed out at previous audits;
ii.
Verify that the SQF System continues to be implemented as documented;
iii.
Consider and take appropriate action where changes to the supplier’s operations are made and
the impact of those changes on the supplier’s SQF System;
iv.
Verify all critical steps remain under control and the effective inter-action between all elements of
the SQF System;
v.
Verify the overall effectiveness of the SQF System in its entirety in the light of changes in
operations;
vi.
Verify that the supplier continues to demonstrate a commitment to maintaining the effectiveness
of the SQF System and to meeting regulatory and customer requirements; and
vii.
Contribute to continued improvement of the supplier’s SQF System and business operation.
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The SQF Code, Edition 7
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4.4
Part A: Implementing and Maintaining the SQF
Code
Variations to the Re-certification Process
The requirements for the re-certification audit are the same as those described in sections 2.1 – 3.4 for the
certification audit, with the following exceptions:
4.5
i.
An independent desk audit is not required as part of a re-certification audit. However an
integrated desk and facility audit shall be conducted at each re-certification. The supplier’s
documentation shall be reviewed as necessary as part of the facility audit.
ii.
If the supplier fails to permit the re-certification audit within the agreed timeframe, the
certification body shall immediately suspend the supplier’s certificate of registration.
iii.
If the supplier receives an “F” rating at the re-certification audit, the certification body shall
immediately suspend the supplier’s certificate of registration.
iv.
If the supplier fails to close out non-conformities within the agreed timeframe, the certification
body shall immediately suspend the supplier’s certificate of registration.
Suspending Certification
The certification body shall suspend the SQF certificate of registration where the supplier receives an “F” rating, or
where the supplier fails to take corrective action within the timeframe specified.
Where the supplier’s certificate of registration is suspended, the certification body shall immediately amend the
supplier details on the SQFI database to a suspended status indicating the reason for the suspension and the date
of effect; and in writing:
i.
Inform the supplier of the reasons for the action taken and the date of effect;
ii.
Copy the senior technical director of SQFI on the notice of suspension sent to the supplier,
iii.
Request that the supplier provides to the certification body, within forty-eight (48) hours of
receiving notice of the suspension, a detailed corrective action plan outlining the corrective action
to be taken.
When the supplier’s certificate of registration is suspended, the certification body shall upon receipt of the detailed
corrective action plan:
i.
Verify that the immediate correction has been taken by the means of an on-site audit and within
thirty (30) calendar days of receiving the corrective action plan;
ii.
When corrective action has been successfully implemented, re-instate the supplier status on the
SQFI database and give written notice to the supplier that their certificate of registration is no
longer suspended;
iii.
Not more than six (6) months after suspension, the certification body shall conduct a recertification audit to verify the effective implementation of the corrective action plan and that the
supplier SQF System is achieving stated objectives (Seasonal clients may delay their re-certification
audit until the commencement of the new season.); and
iv. Copy SQFI on the notice indicating lifting of the suspension sent to the supplier.
When a certification body has suspended a supplier’s SQF certificate of registration, for the duration of suspension,
the supplier shall not represent itself as holding an SQF certificate of registration.
Level 3 suppliers must comply with Reference Appendix 3: SQF Quality Shield and Logo Rules of Use.
4.6
Withdrawing Certification
The certification body shall withdraw the certificate of registration when the supplier:
i.
Has been placed under suspension and fails to submit approved corrective action plans as defined
by the CB, or take approved corrective action as determined by the CB within the time frames
specified;
ii.
Has falsified its records;
iii.
Fails to comply with the certificate of registration; or
iv. Has an administrator, receiver, receiver and manager, official manager or provisional liquidator
appointed over its assets or where an order is made or a resolution passed for the closure of the
supplier (except for the purposes of amalgamation or reconstruction) or the supplier ceases to carry
on business or becomes bankrupt, applies to take the benefit of any law for the relief of bankrupt or
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
30
Part A: Implementing and Maintaining the SQF
Code
The SQF Code, Edition 7
First published May 1995
insolvent
debtors
or
makes
any
arrangement
or
composition
with
its
creditors.
In addition, a level 3 supplier shall comply with Reference Appendix 3: SQF Quality Shield and Logo Rules of Use.
When the supplier’s certificate of registration is withdrawn, the certification body shall immediately amend the
supplier’s details on the SQFI database to a “withdrawn” status indicating the reason for the withdrawal and the
date of effect; and in writing:
i.
Inform the supplier that the SQF certificate of registration has been withdrawn, the reason for such
action and the date of effect; and
ii.
Copy SQFI on the notice of suspension sent to the supplier,
iii.
Instruct the supplier to return the certificate of registration;
In addition, for level 3 suppliers, the certification body must comply with Reference Appendix 3: SQF Quality Shield
and Logo Rules of Use.
A supplier that has their certificate of registration withdrawn must re-apply for certification.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
31
The SQF Code, Edition 7
First published May 1995
5
5.1
Part A: Implementing and Maintaining the SQF
Code
Obligations of Suppliers and Certification Bodies
Changing the Scope of Certification
When a supplier desires to add food sector categories or products to their scope of certification, the supplier shall
request the increased scope of certification in writing to the certification body. The certification body shall
determine whether or not an audit of the additional process or products is required. This will depend on the
product risk, similarities to existing processes and products, and proximity to the next scheduled audit date.
Based on this determination, the certification body shall either issue a new certificate of registration, or advise the
supplier in writing why the new certificate cannot be issued.
When a new certificate of registration is issued, the certification body shall make the appropriate changes to the
supplier record on the SQFI database.
5.2
Changing the Certification Body
A supplier can change its certification body after one certification cycle and only when there has been closure of all
outstanding non-conformities, provided that the certification is not suspended or under threat of suspension or
withdrawal.
When a supplier is on a “C” rating and a surveillance audit is required, the change of certification body can only
occur after the surveillance audit is conducted.
When a supplier changes certification bodies, the certificate of registration issued by the old certification body
remains valid until the expected expiration date. The certification number and re-certification date are transferred
with the supplier to the new certification body.
The new certification body shall undertake a pre-transfer review of the supplier’s certification to:
5.3
i.
Confirm the certificate of registration is current, valid and relates to the SQF System so certified.
ii.
Confirm the supplier’s food sector category falls within the new certifier’s scope of accreditation.
iii.
Confirm any complaints received are actioned;
iv.
Review the supplier’s audit history (where the supplier can demonstrate such history to the
satisfaction of the new certifier by way of copies of audit reports completed by any former certifier)
and the impact of any outstanding non-conformities.
v.
Confirm the stage of the current certification cycle.
Notification of Product Recalls and Regulatory Infringements
Upon identification that a certified supplier initiates a food safety event that requires public notification (such as
Class l or Class ll recall), the supplier shall notify the certification body and the SQFI in writing at
foodsafetycrisis@sqfi.com within twenty-four (24) hours of the event. The supplier’s selected certification body
and the SQFI shall be listed in the supplier’s essential contacts lists as defined in module 2.6.3 of the SQF Code.
The certification body shall notify the SQFI within a further forty-eight (48) hours of any action they intend to take
to ensure the integrity of the certification.
5.4
Change of Ownership
When a certified supplier’s business has been sold and the business name is retained, the new owner shall, within
thirty (30) calendar days of the change of ownership, notify the certification body and apply to retain the SQF
certification and the existing certification number. In cases where the ownership of a certified supplier changes but
the staff with major responsibility for the management and oversight of the SQF System has been retained, the
certification body may retain the existing audit frequency status. In making this application, the certification body
shall determine that staff with major responsibility for the management and oversight of the SQF System has been
retained.
If there are significant changes in site management and personnel, the certification body shall complete a
certification audit and issue a new certificate of registration and a new certification number. The audit frequency
applicable to a new certification shall apply.
5.5
Relocation of Premises
When a certified supplier relocates the business premises, the supplier’s certificate of registration is no longer valid
until a successful re-certification of the new premises is conducted.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
32
The SQF Code, Edition 7
First published May 1995
5.6
Part A: Implementing and Maintaining the SQF
Code
Use of a Technical Expert
Technical experts may be used to assist SQF auditors in audits where the auditor is SQF registered but not in the
supplier’s food sector category, or in high risk audits where the audit would benefit from expert technical advice.
The use of a technical expert to assist an SQF auditor in the performance of an SQF audit is permitted provided the
supplier has been notified before the audit and accepts their participation. The technical expert must sign a
confidentiality agreement with the certification body.
Before the audit, the certification body must submit the technical qualifications of the technical expert and the
justification for use of the technical expert to the senior technical director, SQFI.
5.7
Language
The certification body shall ensure that the SQF auditor conducting the audit can competently communicate in the
oral and written language of the supplier being audited.
In circumstances where a translator is required, the translator shall be provided by the certification body and shall
have knowledge of the technical terms used during the audit; be independent of the supplier being audited and
have no conflict of interest. The supplier shall be notified of any increase in audit duration and cost associated with
the use of a translator.
For the purpose of resolving a conflict, the English version of the SQF Code shall be the deciding reference.
5.8
Conflict of Interest
The certification body shall ensure that all certification activities are separately controlled and managed (including
the development of policy and practices) from any consulting activity. It shall preclude any prospective SQF
auditor from undertaking any audit in relation to the certification of SQF System that constitute a conflict of
interest as outlined below or any other condition that could lead to a conflict of interest.
SQF auditors shall not audit anywhere they have participated in a consulting role involving the supplier in question,
or anybody related to the supplier, within the last two years (considered to be participating in an active and
creative manner in the development of the SQF System to be audited, including the development of food safety
plans). Consulting includes, but is not limited to, activities such as:
i.
Producing or preparing food safety plans, food quality plans, manuals, handbooks or procedures.
ii.
Participating in the decision making process regarding SQF System.
iii.
Giving advice – as a consultant or otherwise – toward the design, documentation, development,
validation, verification, implementation or maintenance of SQF System; and
iv.
Deliver or participate in the delivery of an “in-house” training service at which advice and instruction
on the development and implementation of food safety plans and SQF System for eventual
certification is provided.
The certification body shall ensure that an SQF auditor discloses any existing, former or proposed link between
themselves or their organization and the supplier.
The certification body shall ensure through organizational structure that no potential conflict of interest, consulting,
or training occurs from auditors contracted or employed by the certification body to existing or potential supplier
within the SQF program.
A supplier can refuse the service of an SQF auditor when they consider the auditor has a conflict of interest, or for
other reasons. In such circumstances the supplier shall outline the reasons in writing to the certification body.
5.9
Complaints, Appeals and Disputes
The certification body shall document its procedure for handling and resolving appeals, complaints and disputes
made by a supplier, or made by another party about a supplier.
When a supplier has cause to register a complaint about a certification body’s activities, or appeals or disputes a
decision made by a certification body, including the activities and decisions of its auditors, the certification body
shall investigate and resolve these matters without delay and keep a record of all complaints, appeals and disputes
and their resolution.
When a certification body receives a complaint about a supplier from other parties, the certification body is
required to investigate and resolve the matter without delay and keep a record of all complaints, appeals and
disputes and their resolution.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
33
The SQF Code, Edition 7
First published May 1995
Part A: Implementing and Maintaining the SQF
Code
Appeals regarding decisions on the suspension and/or withdrawal of the SQF certification by a certification body
shall not delay the decision to suspend or withdraw the certification.
When upon investigation of a complaint it is determined that there has been a substantiated breakdown of a
supplier’s SQF System or any other condition not in accordance with the SQF Code and/or other supporting
documents, the certification body shall suspend certification as outlined in section 4.4.
Where a complaint is registered about the conduct or behavior of an auditor or certification body personnel, the
certification body shall investigate and resolve the complaint without delay and keep a record of all complaints and
their resolution.
Records of complaints and investigations shall be available to the SQFI upon request. Where a complaint, appeal
or dispute cannot be satisfactorily resolved between the supplier and the certification body, the matter shall be
referred to the SQFI complaints and appeals procedure.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
34
The SQF Code, Edition 7
First published May 1995
Module 1: Scope, References, Definitions
Part B: The SQF Code
Module 1: Scope, References and Definitions
a) Scope
The SQF Code outlines the requirements for a supplier involved in the primary production, manufacture, processing,
transport, storage, distribution or retailing of food products and food-contact packaging.
The SQF Code describes the auditable requirements that must be met by the supplier to achieve certification to the
SQF Code. It is divided into modules that must be met, commensurate with the producer or food supplier’s food
industry sector.
Module 2: SQF System Elements: This module defines the food safety management requirements for all suppliers
throughout the supply chain. Module 2 can be certified at three levels by SQFI licensed certification bodies accredited
to ISO 17065:2011. The levels are:
Level 1 is an entry level for new and developing businesses. Covering only GAP/GMP/GDP requirements
and basic food safety elements, suppliers that comply with the SQF Code certification requirements at level
1 receive an accredited certificate from an SQFI licensed certification body.
Level 2 recognizes suppliers that have implemented a HACCP food safety plan in addition to food safety
fundamentals. Suppliers that comply with the SQF Code certification requirements at level 2 receive an
accredited certificate from an SQFI licensed certification body.
Level 3 recognizes suppliers that have implemented a HACCP food quality plan in addition to a food safety
plan and food safety fundamentals. Suppliers that comply with the SQF Code certification requirements at
level 3 receive an accredited certificate from an SQFI Licensed certification body.
Modules 3 – 15: GAP/GMP/GDP requirements applicable to various food industry sectors. Producer/supplier must
meet the requirements of the module or modules applicable to their food industry sector.
Module 16 defines the requirements for SQF multi-site programs managed by a central site.
b) References
The SQF Code makes reference to the current edition of the CODEX Alimentarius Commission Guidelines for the
Application of the Hazard Analysis and Critical Control Point (HACCP) System and the National Advisory Committee
on Microbiological Criteria for Foods (NACMCF) Hazard Analysis and Critical Control Point Principles and Application
Guidelines, adopted August 14, 1997.
c) Definitions
For the purpose of this Code the definitions outlined in Appendix 2: Glossary of Terms apply.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
35
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.1
2.1
Module 2: SQF System Elements
(M) indicates mandatory elements (refer Part A: 2.8)
2.1
Management Commitment
Management Commitment
Management Commitment
The producer/supplier shall provide evidence of its
commitment to implement and maintain an
effective SQF System and to support its ongoing
improvement.
The producer/supplier shall provide evidence of its
commitment to implement and maintain an
effective SQF System and to support its ongoing
improvement.
The producer/supplier shall provide evidence of its
commitment to implement and maintain an
effective SQF System and to support its ongoing
improvement.
2.1.1
2.1.1
2.1.1
Management Policy (M)
2.1.1.1 Senior management shall prepare and
implement a policy statement that outlines as a
minimum the:
Management Policy (M)
2.1.1.1 Senior management shall prepare and
implement a policy statement that outlines as a
minimum the:
Management Policy (M)
2.1.1.1 Senior management shall prepare and
implement a policy statement that outlines as a
minimum the:
i.
Organization’s commitment to supply safe
food;
i.
Organization’s commitment to supply safe
food;
i.
Organization’s commitment to supply safe
food;
ii.
Methods used to comply with its customer
and regulatory requirements, and
ii.
ii.
iii.
Organizations commitment to establish
and review food safety objectives.
Methods used to comply with its customer
and regulatory requirements and
continually improve its food safety
management system; and
Methods used to comply with its customer
and regulatory requirements and
continually improve its food safety and
quality management system; and
iii.
Organizations commitment to establish and
review food safety objectives.
iii.
Organizations commitment to establish
and review food safety and quality
objectives.
2.1.1.2 The policy statement shall be:
i.
Signed by senior management;
ii.
Made available in language understood by
all staff; and
iii.
2.1.2
Management Responsibility (M)
2.1.2.1 The organizational reporting structure
describing those who have responsibility for food
safety shall be defined and communicated within
the organization.
2.1.2
Displayed in a prominent position and
effectively communicated to all staff.
Management Responsibility (M)
2.1.2.1 The organizational reporting structure
describing those who have responsibility for food
safety shall be defined and communicated within
the organization.
2.1.1.2 The policy statement shall be:
i.
Signed by senior management;
ii.
Made available in language understood by
all staff; and
iii.
Displayed in a prominent position and
effectively communicated to all staff.
2.1.2
Management Responsibility (M)
2.1.2.1 The organizational reporting structure
describing those who have responsibility for food
safety and quality and their interrelationship shall
be defined and communicated within the
organization.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
36
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.1.2.2 The senior management shall make
provision to ensure fundamental food safety
practices are adopted and maintained.
2.1.2.2 The senior management shall make
provision to ensure fundamental food safety
practices are adopted and maintained.
2.1.2.2 The senior management shall make
provision to ensure fundamental food safety and
quality practices are adopted and maintained.
2.1.2.3 The senior management shall ensure
adequate resources are available to support the
development, implementation, maintenance and
ongoing improvement of the SQF System.
2.1.2.3 The senior management shall ensure
adequate resources are available to achieve food
safety objectives and support the development,
implementation,
maintenance
and
ongoing
improvement of the SQF System.
2.1.2.3 The senior management shall ensure
adequate resources are available to achieve food
safety and quality objectives and to support the
development, implementation and maintenance
and ongoing improvement of the SQF System.
2.1.2.4 The senior management shall designate
an SQF practitioner for each site with responsibility
and authority to:
2.1.2.4 The senior management shall designate
an SQF practitioner for each site with responsibility
and authority to:
2.1.2.4 The senior management shall designate
an SQF practitioner for each site with responsibility
and authority to:
i.
Lead the development and implementation
of food safety fundamentals outlined in
2.4.2.
ii. Oversee the development, implementation,
review and maintenance of the SQF
System; and
iii. Take appropriate action to ensure the
integrity of the SQF System.
2.1.2.5 The SQF practitioner shall:
i.
Be employed by the supplier as a company
employee on a full-time basis;
ii. Hold a position of responsibility in relation
to the management of the supplier’s SQF
System;
iii. Have completed a HACCP-based training
course;
iv. Be competent to implement and maintain
food safety fundamentals; and
v. Have an understanding of the SQF Code
level 1 and the requirements to implement
and maintain SQF System relevant to the
supplier scope of certification.
2.1.2.6 The responsibility for establishing and
implementing
the
training
needs
of
the
organization shall be defined and documented.
2.1.2.7 All staff shall be informed of their
responsibility to report food safety problems to
personnel with authority to initiate action.
i. Oversee the development, implementation,
review and maintenance of the SQF System,
including food safety fundamentals outlined in
2.4.2, and the food safety plan outlined in
2.4.3.
ii. Take appropriate action to ensure the integrity
of the SQF System; and
iii. Communicate to relevant personnel all
information essential to ensure the effective
implementation and maintenance of the SQF
System.
2.1.2.5 The SQF practitioner shall:
i.
Be employed by the supplier as a company
employee on a full-time basis;
ii. Hold a position of responsibility in relation to
the management of the supplier’s SQF
System;
i.
ii.
iii.
2.1.2.5 The SQF practitioner shall:
i.
Be employed by the supplier as a company
employee on a full-time basis;
ii.
Hold a position of responsibility in relation
to the management of the supplier’s SQF
System;
iii.
Have completed a HACCP training course;
iv.
Be competent to implement and maintain
HACCP based food safety plans and food
quality plans; and
v.
Have an understanding of the SQF Code
Level 3 and the requirements to implement
and maintain SQF System relevant to the
supplier scope of certification.
iii. Have completed a HACCP training course;
iv. Be competent to implement and maintain
HACCP based food safety plans; and
v. Have an understanding of the SQF Code level
2 and the requirements to implement and
maintain SQF System relevant to the supplier
scope of certification.
2.1.2.6 The responsibility for establishing and
implementing
the
training
needs
of
the
organization’s personnel to ensure they have the
required competencies to carry out those functions
affecting products, legality, and safety shall be
defined and documented.
Oversee the development, implementation,
review and maintenance of the SQF System,
including food safety fundamentals outlined
in 2.4.2, the food safety plan outlined in
2.4.3 and the food quality plan outlined in
2.4.4;
Take appropriate action to maintain the
integrity of the SQF System; and
Communicate to relevant personnel all
information essential to ensure the effective
implementation and maintenance of the
SQF System.
2.1.2.6 The responsibility for establishing and
implementing
the
training
needs
of
the
organization’s personnel to ensure they have the
required competencies to carry out those functions
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
37
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.1.2.7 All staff shall be informed of their
responsibility to report food safety problems to
personnel with authority to initiate action.
affecting product, legality, safety, and quality shall
be defined and documented.
2.1.2.8 Job descriptions for those responsible for
food safety shall be documented and include
provision to cover for the absence of key
personnel.
2.1.2.9 The senior management shall establish
processes to improve the effectiveness of the SQF
System to demonstrate continuous improvement.
2.1.2.7 All staff shall be informed of their
responsibility to report food safety and quality
problems to personnel with authority to initiate
action.
2.1.2.8 Job descriptions for those responsible for
food safety and quality shall be documented and
include provision to cover for the absence of key
personnel.
2.1.2.9 The senior management shall establish
processes to improve the effectiveness of the SQF
System to demonstrate continuous improvement.
2.1.3
Food Safety Management System (M)
2.1.3.1 A
food
safety
manual
shall
be
documented, maintained in either electronic
and/or hard copy form, and made available to
relevant staff and include:
i.
The policy statement and organization
chart;
ii.
The scope of the certification;
iii.
A list of the products covered under the
scope of certification; and
iv.
Include
or
reference
the
written
procedures, pre-requisite programs and
other
documentation
necessary
to
support the development and the
implementation, maintenance and control
of the SQF System.
2.1.3
Food Safety Management System (M)
2.1.3.1 A food safety manual shall be documented
and maintained in either electronic and/or hard
copy form.
It shall outline the methods the
organization will use to meet the requirements of
this Standard, be made available to staff and
include:
i.
A summary of the organization’s food safety
policies and the methods it will apply to
meet the requirements of this standard;
ii. The policy
chart;
statement
and
2.1.3
Food Safety and Quality Management
System (M)
2.1.3.1 A food safety and quality manual shall be
documented and maintained in either electronic
and/or hard copy form. It shall outline the methods
the organization will use to meet the requirements
of this standard, be made available to staff and
include:
i.
A summary
safety and
methods it
requirements
ii.
The policy statement and organization
chart;
iii.
The scope of the certification; and
organization
iii. The scope of the certification; and
iv. A list of the products covered under the
scope of certification.
2.1.3.2
A food safety manual shall be
documented, maintained, made available to
relevant staff and include or reference the written
procedures, pre-requisite programs, food safety
plans and other documentation necessary to
support the development and the implementation,
maintenance and control of the SQF System.
of the organization’s food
quality policies and the
will apply to meet the
of this standard;
iv. A list of the products covered under the
scope of certification.
2.1.3.2 A
food
safety
manual
shall
be
documented, maintained, made available to
relevant staff and include or reference the written
procedures, pre-requisite programs, food safety
plans and other documentation necessary to
support the development and the implementation,
maintenance and control of the SQF System.
2.1.3.3 A quality manual shall be documented,
maintained, made available to relevant staff and
include or reference the written procedures,
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
38
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
standard operating practices, work instructions,
and food quality plans and other documentation
necessary to support the development and the
implementation, maintenance and control of the
SQF System. The quality manual may be combined
and integrated with the food safety manual.
2.1.4
Management Review (M)
2.1.4
2.1.4.1 The
senior
management
shall
be
responsible for reviewing the SQF System
including the policy statement.
2.1.4.2 The SQF System in its entirety shall be
reviewed at least annually.
2.1.4.3 Food safety fundamentals shall be
reviewed when any changes implemented have an
impact on the supplier’s ability to deliver safe food.
2.1.4.4 The SQF practitioner shall be responsible
for validating changes to food safety fundamentals
that have an impact on the supplier’s ability to
deliver safe food.
2.1.4.5 Records of all reviews, validations and
changes to the SQF System shall be maintained.
Management Review (M)
2.1.4.1 The
senior
management
shall
be
responsible for reviewing the SQF System and
documenting the review procedure. Reviews shall
include:
i.
ii.
iii.
iv.
The policy manual;
Internal and external audit findings;
Corrective actions and their investigations
and resolution; and
Customer complaints and their resolution
and investigation.
Complaint Management
This clause is not applied at level 1.
Management Review (M)
2.1.4.1 The
senior
management
shall
be
responsible for reviewing the SQF System and
documenting the review procedure. Reviews shall
include:
i.
ii.
iii.
iv.
The policy manual;
Internal and external audit findings;
Corrective actions and their investigations
and resolution; and
Customer complaints and their resolution
and investigation.
2.1.4.2 The SQF System in its entirety shall be
reviewed at least annually.
2.1.4.2 The SQF System in its entirety shall be
reviewed at least annually.
2.1.4.3 Food safety fundamentals and food safety
plans shall be reviewed when any changes
implemented have an impact on the supplier’s
ability to deliver safe food.
2.1.4.3 Food safety fundamentals, food safety
plans and food quality plans shall be reviewed
when any changes implemented have an impact on
the supplier’s ability to deliver safe, quality food.
2.1.4.4 The SQF practitioner shall be responsible
for validating changes to food safety fundamentals
and food safety plans that have an impact on the
supplier’s ability to deliver safe food.
2.1.4.4 The SQF practitioner shall be responsible
for validating changes to food safety fundamentals,
food safety plans and food quality plans that have
an impact on the supplier’s ability to deliver safe,
quality food.
2.1.4.5 Records of all reviews and reasons for
amending documents, validations and changes to
the SQF System shall be maintained.
2.1.5
2.1.4
2.1.5
Complaint Management
2.1.4.5 Records of all reviews and reasons for
amending documents, validations and changes to
the SQF System shall be maintained.
2.1.5
Complaint Management
2.1.5.1 The methods and responsibility for
handling and investigating the cause and resolution
of complaints from customers and authorities shall
be documented and implemented.
2.1.5.1 The methods and responsibility for
handling and investigating the cause and resolution
of complaints from customers and authorities shall
be documented and implemented.
2.1.5.2 Trends of customer complaint data shall
be investigated and analyzed by personnel
knowledgeable about the incidents.
2.1.5.2 Trends of customer complaint data shall
be investigated and analyzed by personnel
knowledgeable about the incidents.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
39
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.1.5.3 Corrective action shall be implemented
commensurate with the seriousness of the incident
and as outlined under 2.5.5.
2.1.5.3 Corrective action shall be implemented
commensurate with the seriousness of the incident
and as outlined under 2.5.5.
2.1.5.4 Records of customer complaints and their
investigations shall be maintained.
2.1.5.4 Records of customer complaints and their
investigations shall be maintained.
2.1.6
2.1.6
2.1.6
Business Continuity Planning
This clause is not applied at level 1.
Business Continuity Planning
Business Continuity Planning
2.1.6.1 A business continuity plan based on the
understanding of known food safety threats to a
business shall be prepared by senior management
outlining the methods and responsibility the
organization will implement to cope with a business
crisis that may impact on the ability of the supplier
to deliver safe food.
2.1.6.1 A business continuity plan based on the
understanding of known threats to a business shall
be prepared by senior management outlining the
methods and responsibility the organization will
implement to cope with a business crisis that may
impact on the ability of the supplier to deliver safe,
quality food.
2.1.6.2 The business continuity plan shall include
as a minimum:
2.1.6.2 The business continuity plan shall include
as a minimum:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
A senior manager responsible for decision
making, oversight and initiating actions
arising from a crisis management
incident;
The nomination and training of a crisis
management team;
The controls implemented to ensure a
response does not compromise product
safety;
The measures to isolate and identify
product affected by a response to a crisis;
The measures taken to verify the
acceptability of food prior to release;
The preparation and maintenance of a
current crisis alert contact list;
Sources of legal and expert advice; and
The responsibility for internal
communications and communicating with
authorities, external organizations and
media.
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
A senior manager responsible for decision
making, oversight and initiating actions
arising from a crisis management
incident;
The nomination and training of a crisis
management team;
The controls implemented to ensure a
response to a crisis does not compromise
product safety and quality;
The measures to isolate and identify
product affected by a response to a crisis;
The measures taken to verify the
acceptability of food prior to release;
The preparation and maintenance of a
current crisis alert contact list;
Sources of legal and expert advice; and
The responsibility for internal
communications and communicating with
authorities, external organizations and
media.
2.1.6.3 The business continuity plan shall be
reviewed, tested and verified at least annually.
2.1.6.3 The business continuity plan shall be
reviewed, tested and verified at least annually.
2.1.6.4 Records of reviews and verification of the
business continuity plan shall be maintained.
2.1.6.4 Records of reviews and verification of the
business continuity plan shall be maintained.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
40
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.2
Document Control and Records
2.2
2.2
Document Control and Records
2.2.1
Document Control (M)
2.2.1
2.2.1
Document Control (M)
2.2.1.1 A register of current SQF System
documents and amendments to documents shall
be maintained.
2.2.1.2 Documents shall be safely stored and
readily accessible.
2.2.2
Records (M)
2.2.2.1 All records shall be legible and suitably
authorized by those undertaking monitoring
activities that demonstrate inspections, analyses
and
other
essential
activities
have
been
completed.
2.2.2.2 Records shall be readily accessible,
securely
stored
to
prevent
damage
and
deterioration and shall be retained in accordance
with periods specified by a customer or
regulations.
Document Control and Records
Document Control (M)
2.2.1.1 The methods and responsibility for
maintaining document control and ensuring staff
have access to current documents shall be
documented and implemented.
2.2.1.1 The methods and responsibility for
maintaining document control and ensuring staff
have access to current documents shall be
documented and implemented.
2.2.1.2 A register of current SQF System
documents and amendments to documents shall be
maintained.
2.2.1.2 A register of current SQF System
documents and amendments to documents shall be
maintained.
2.2.1.3 Documents shall be safely stored and
readily accessible.
2.2.1.3 Documents shall be safely stored and
readily accessible.
2.2.2
2.2.2
Records (M)
Records (M)
2.2.2.1 The methods and responsibility for
undertaking
monitoring
activities,
verifying,
maintaining and retaining records shall be
documented and implemented.
2.2.2.1 The methods and responsibility for
undertaking
monitoring
activities,
verifying,
maintaining and retaining records shall be
documented and implemented.
2.2.2.2 All records shall be legible and suitably
authorized by those undertaking monitoring
activities that demonstrate inspections, analyses
and other essential activities have been completed.
2.2.2.2 All records shall be legible and suitably
authorized by those undertaking monitoring
activities that demonstrate that inspections,
analyses and other essential activities have been
completed.
2.2.2.3 Records shall be readily accessible,
retrievable, securely stored to prevent damage and
deterioration and shall be retained in accordance
with periods specified by a customer or regulations.
2.2.2.3 Records shall be readily accessible,
retrievable, securely stored to prevent damage and
deterioration and shall be retained in accordance
with periods specified by a customer or regulations.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
41
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.3
Specification and Product
Development
2.3
Specification and Product
Development
2.3
Specification and Product
Development
2.3.1
Product Development and Realization
2.3.1
2.3.1
Product Development and Realization
This clause is not applied at level 1.
Product Development and Realization
2.3.1.1 The methods and responsibility for
designing, developing and converting product
concepts to commercial realization shall be
documented and implemented.
2.3.1.1 The methods and responsibility for
designing, developing and converting product
concepts to commercial realization shall be
documented and implemented.
2.3.1.2 Product
formulation,
manufacturing
processes
and
the
fulfillment
of
product
requirements shall be validated by facility trials,
shelf life trials and product testing.
2.3.1.2
Product
formulation,
manufacturing
processes
and
the
fulfillment
of
product
requirements shall be validated by facility trials,
shelf life trials and product testing.
2.3.1.3 Shelf life trials where necessary shall be
conducted to establish and validate a product’s:
2.3.1.3 Shelf life trials where necessary shall be
conducted to establish and validate a product’s:
i.
Handling, storage requirements including
the establishment of “use by” or “best
before dates”;
Microbiological criteria; and
ii.
iii. Consumer
preparation,
storage
and
handling requirements.
i.
Handling, storage requirements including
the establishment of “use by” or “best
before dates”;
ii.
Microbiological criteria; and
iii.
Consumer
preparation,
handling requirements.
storage
and
2.3.1.4 A food safety plan shall be validated and
verified for each new product and its associated
process
through
conversion
to
commercial
production and distribution, or where a change to
ingredients, process, or packaging occurs that may
impact food safety.
2.3.1.5 Records of all product design, process
development, shelf life trials and approvals shall be
maintained.
2.3.2
Raw and Packaging Materials
2.3.2.1 Specifications for raw materials and
packaging materials including, but not limited to
ingredients, additives, hazardous chemicals and
processing aids, that impact on finished product
safety shall be documented, comply with relevant
legislation, and kept current.
2.3.2
Raw and Packaging Materials
2.3.2.1 Specifications for all raw and packaging
materials, including, but not limited to ingredients,
additives, hazardous chemicals and processing
aids that impact on finished product safety shall be
documented and kept current.
2.3.1.4 A food safety plan and food quality plan
shall be validated and verified for each new product
and its associated process through conversion to
commercial production and distribution, or where a
change to ingredients, process, or packaging
occurs that may impact food safety or quality.
2.3.1.5 Records of all product design, process
development, shelf life trials and approvals shall be
maintained.
2.3.2
Raw and Packaging Materials
2.3.2.1 Specifications for all raw and packaging
materials, including, but not limited to ingredients,
additives, hazardous chemicals and processing aids
that impact on finished product safety and quality
shall be documented and kept current.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
42
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.3.2.2 All raw and packaging materials and
ingredients shall comply with the relevant
legislation.
2.3.2.2 All raw and packaging materials and
ingredients shall comply with the relevant
legislation.
2.3.2.3 The methods and responsibility for
developing and approving detailed raw material,
ingredient, and packaging specifications shall be
documented.
2.3.2.3 The methods and responsibility for
developing and approving detailed raw material,
ingredient, and packaging specifications shall be
documented.
2.3.2.4 Raw and packaging materials and
ingredients shall be validated to ensure product
safety is not compromised and the material is fit
for its intended purpose.
Validation of raw
materials and ingredients shall include Certificate
of conformance; or certificate of analysis; or
sampling and testing.
2.3.2.5 Validation of packaging materials shall
include:
i.
ii.
Certification that all packaging that comes
into direct contact with food meets either
regulatory
acceptance
or
approval
criteria. Documentation shall either be in
the form of a declaration of continued
guarantee of compliance, a certificate of
conformance, or a certificate from the
applicable regulatory agency.
In the absence of a certificate of
conformance, certificate of analysis, or
letter of guarantee, tests and analyses to
confirm the absence of potential chemical
migration from the packaging to the food
contents shall be conducted and records
maintained.
2.3.2.6 Product labels shall be accurate, comply
with the relevant legislation and be approved by
qualified company personnel.
2.3.2.7 A register of raw and packaging material
specifications and labels shall be maintained and
kept current.
2.3.3
Contract Service Providers
This clause is not applied at level 1.
2.3.3
Contract Service Providers
2.3.3.1 Specifications for contract services that
have an impact on finished product safety shall be
2.3.2.4 Raw and packaging materials and
ingredients shall be validated to ensure Product
safety and quality is not compromised and the
material is fit for its intended purpose. Validation
of raw materials and ingredients shall include
certificate of conformance; or certificate of
analysis; or sampling and testing.
2.3.2.5
include:
i.
ii.
Validation of packaging materials shall
Certification that all packaging that comes
into direct contact with food meets either
regulatory acceptance or approval criteria.
Documentation shall either be in the form
of a declaration of continued guarantee of
compliance, a certificate of conformance,
or a certificate from the applicable
regulatory agency.
In the absence of a certificate of
conformance, certificate of analysis, or
letter of guarantee, tests and analyses to
confirm the absence of potential chemical
migration from the packaging to the food
contents shall be conducted and records
maintained.
2.3.2.6 Product labels shall be accurate, comply
with the relevant legislation and be approved by
qualified company personnel.
2.3.2.7 A register of raw and packaging material
specifications and labels shall be maintained and
kept current.
2.3.3
Contract Service Providers
2.3.3.1 Specifications for contract services that
have an impact on finished product safety and
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
43
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
documented, current, include a full description of
the service to be provided and detail relevant
training requirements of contract personnel.
quality shall be documented, current, include a full
description of the service to be provided and detail
relevant
training
requirements
of
contract
personnel.
2.3.3.2 A register of all contract
specifications shall be maintained.
2.3.4
Contract Manufacturers
2.3.4
This clause is not applied at level 1.
2.3.5
Finished Product
2.3.5.1 Finished product specifications shall be
documented, current, approved by the supplier
and their customer, accessible to relevant staff
and may include:
i.
ii.
Microbiological and chemical limits; and
Labeling and packaging requirements.
service
Contract Manufacturers
2.3.3.2 A register of all contract
specifications shall be maintained.
2.3.4
service
Contract Manufacturers
2.3.4.1 The methods and responsibility for
ensuring all agreements relating to customers
product requirements and its realization and
delivery are specified and agreed shall be
documented and implemented.
2.3.4.1 The methods and responsibility for
ensuring all agreements relating to customers
product requirements and its realization and
delivery are specified and agreed shall be
documented and implemented.
2.3.4.2 The supplier shall:
2.3.4.2 The supplier shall:
i.
Verify all customer requirements are being
met at all times; and
i.
ii.
Ensure changes to contractual agreements are
approved by both parties and communicated
to relevant personnel.
ii.
Verify all customer requirements are being
met at all times; and
Ensure changes to contractual agreements are
approved by both parties and communicated
to relevant personnel.
2.3.4.3 Records of all contract reviews and
changes to contractual agreements and their
approvals shall be maintained.
2.3.4.3 Records of all contract reviews and
changes to contractual agreements and their
approvals shall be maintained.
2.3.5
2.3.5
Finished Product
2.3.5.1 Finished product specifications shall be
documented, current, approved by the supplier
and their customer, accessible to relevant staff
and may include:
i.
ii.
Microbiological and chemical limits; and
Labeling and packaging requirements.
2.3.5.2 A register of finished product specifications
shall be maintained.
Finished Product
2.3.5.1 Finished product specifications shall be
documented, current, approved by the supplier
and their customer, accessible to relevant staff
and may include:
i.
ii.
iii.
Microbiological and chemical limits;
Labeling and packaging requirements;
and
Product quality attributes.
2.3.5.2 A register of finished product specifications
shall be maintained.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
44
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.4
Attaining Food Safety
2.4
Attaining Food Safety
2.4
Attaining Food Safety
2.4.1
Food Legislation (Regulation) (M)
2.4.1
Food Legislation (Regulation) (M)
2.4.1
Food Legislation (Regulation) (M)
2.4.1.1 The organization shall ensure that, at the
time of delivery to its customer, the food supplied
shall comply with the legislation that applies to the
food and its production in the country of its origin
and destination. This includes compliance with
legislative requirements applicable to food safety,
packaging, product description and nutritional and
additive labeling, and to relevant established
industry codes of practice.
2.4.2
Food Safety Fundamentals (M)
2.4.2.1 The premises, buildings and equipment
shall be located, constructed, designed and
maintained to facilitate the hygienic manufacture,
handling, storage and/or delivery of safe food
2.4.2.2 The supplier shall ensure the food safety
fundamentals described in the relevant subsequent
modules of this Code (i.e. modules 3 – 15) are
applied or excluded according to a detailed risk
analysis outlining the justification for exclusion or
evidence of the effectiveness of alternative control
measures to ensure that food safety is not
compromised.
2.4.1.1 The organization shall ensure that, at the
time of delivery to its customer, the food supplied
shall comply with the legislation that applies to the
food and its production in the country of its origin
and destination. This includes compliance with
legislative requirements applicable to maximum
residue limits, food safety, packaging, product
description, nutritional, allergen and additive
labeling, and to relevant established industry codes
of practice.
2.4.1.1 The organization shall ensure that, at the
time of delivery to its customer, the food supplied
shall comply with the legislation that applies to the
food and its production in the country of its origin
and destination. This includes compliance with
legislative requirements applicable to maximum
residue limits, food safety, trade weights and
measures,
packaging,
product
description,
nutritional, allergen and additive labeling, and to
relevant established Industry codes of practice.
2.4.1.2 The methods and responsibility for
ensuring the organization is kept informed of
changes to relevant legislation, scientific and
technical developments and relevant industry
codes of practice shall be documented and
implemented.
2.4.1.2 The methods and responsibility for
ensuring the organization is kept informed of
changes to relevant legislation, scientific and
technical developments and relevant industry
codes of practice shall be documented and
implemented.
2.4.2
2.4.2
Food Safety Fundamentals (M)
Food Safety Fundamentals (M)
2.4.2.1 The property, buildings and equipment
shall be located, constructed, designed and
maintained to facilitate the hygienic production,
manufacture, handling, storage and/or delivery of
safe food.
2.4.2.1 The property, buildings and equipment
shall be located, constructed, designed and
maintained to facilitate the hygienic production,
manufacture, handling, storage and/or delivery of
safe, quality food.
2.4.2.2 The supplier shall ensure the food safety
fundamentals described in the relevant subsequent
modules of this Code (i.e. modules 3 – 15) are
applied, or excluded according to a detailed risk
analysis outlining the justification for exclusion or
evidence of the effectiveness of alternative control
measures to ensure that food safety is not
compromised.
2.4.2.2 The supplier shall ensure the food safety
fundamentals described in the relevant subsequent
modules of this Code (i.e. modules 3 – 15) are
applied, or excluded according to a detailed risk
analysis outlining the justification for exclusion or
evidence of the effectiveness of alternative control
measures to ensure that food safety and quality
are not compromised.
2.4.2.3 Those pre-requisite programs applicable to
the scope of certification that outline the means by
which food safety is controlled and assured shall be
documented and implemented.
2.4.2.3 Those pre-requisite programs applicable
to the scope of certification that outline the means
by which food safety is controlled and assured
shall be documented and implemented.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
45
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.4.2.4 The effectiveness of the pre-requisite
programs shall be verified as described in 2.5.4.
2.4.2.4 The effectiveness of the pre-requisite
programs shall be verified as described in 2.5.4.
2.4.3
2.4.3
2.4.3
Food Safety Plan
This clause is not applied at level 1.
2.4.4
Food Quality Plan
This clause is not applied at level 1.
Food Safety Plan (M)
2.4.3.1 A food safety plan shall be developed,
effectively implemented, and maintained and
outline the means by which the organization
controls and assures food safety. The food safety
plan shall:
Food Safety Plan (M)
2.4.3.1 A food safety plan shall be developed,
effectively implemented, and maintained and
outline the means by which the organization
controls and assures food safety. The food safety
plan shall:
i.
Be prepared in accordance with the steps
identified in the Codex Alimentarius
Commission
or
NACMCF
HACCP
guidelines. Primary producers may utilize
a HACCP-based reference food safety plan
developed by a responsible authority.
ii.
Cover a product or product group and the
associated processes.
ii.
Cover a product or product group and the
associated processes.
iii.
Describe the methodology and results of a
hazard analysis conducted to identify food
safety hazards associated with all inputs
and process steps including rework.
iii.
Describe the methodology and results of a
hazard analysis conducted to identify food
safety hazards associated with all inputs
and process steps including rework.
iv.
Prescribe those measures taken to apply
the controls implemented that are critical
to assuring, monitoring and maintaining
food safety.
iv.
Prescribe those measures taken to apply
the controls implemented that are critical
to assuring, monitoring and maintaining
food safety.
v.
Include process controls at control points
in production to monitor product safety,
identify when a process is deviating from
set parameters and make corrections to
keep a process under control; and
v.
Process controls at control points in
production to monitor product safety,
identify when a process is deviating from
set parameters and make corrections to
keep a process under control; and
vi.
Include documented Standard Operating
Procedures (SOPs) and Work Instructions
(WI) applicable to the organization’s scope
of certification.
vi.
Include documented Standard Operating
Procedures (SOPs) and Work Instructions
(WI) applicable to the organization’s scope
of certification.
2.4.4
Food Quality Plan
This clause is not applied at level 2.
i.
Be prepared in accordance with the steps
identified in the Codex Alimentarius
Commission
or
NACMCF
HACCP
guidelines. Primary producers may utilize
a HACCP-based reference food safety plan
developed by a responsible authority.
2.4.4
Food Quality Plan (M)
2.4.4.1 A food quality plan shall be developed,
effectively implemented, and maintained in
accordance with the HACCP method to outline the
means by which the organization controls and
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
46
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
assures food quality and legality. The food quality
plan shall:
i.
ii.
iii.
iv.
v.
2.4.5
Incoming Goods and Services
2.4.5
Incoming Goods and Services
2.4.5
Outline the results of a food quality risk
analysis conducted to identify threats to
achieving and maintaining product and
process quality.
Prescribe those measures taken to apply
the controls implemented that are critical
to assuring, monitoring and maintaining
food quality.
Include process controls at quality points
in production to monitor product quality,
identify when a process is deviating from
set parameters and make corrections to
keep a process under control;
Cover a food or food group and the
associated processes; and
Include documented Standard Operating
Procedures (SOPs) and Work Instructions
(WI) applicable to the organizations scope
of certification.
Incoming Goods and Services
2.4.5.1 Raw materials, ingredients, packaging
materials and services that impact on finished
product safety shall be supplied by an approved
supplier or inspected or analyzed before use.
2.4.5.1 Raw materials, ingredients, packaging
materials, and services that impact on finished
product safety shall be supplied by an approved
supplier.
2.4.5.1 Raw materials, ingredients, packaging
materials, and services that impact on finished
product safety and quality shall be supplied by an
approved supplier.
2.4.5.2 Inspections and analyses shall conform to
standard reference methods.
2.4.5.2 The receipt of raw materials, ingredients,
and packaging materials received from nonapproved supplier shall be acceptable in an
emergency situation provided they are inspected or
analyzed before use.
2.4.5.2 The receipt of raw materials, ingredients,
and packaging materials received from nonapproved supplier shall be acceptable in an
emergency situation provided they are inspected or
analyzed before use.
2.4.5.3 The
responsibility
for
selecting,
evaluating, approving and monitoring an approved
supplier shall be documented and implemented.
2.4.5.3 The
responsibility
for
selecting,
evaluating, approving and monitoring an approved
supplier shall be documented and implemented.
2.4.5.4 The approved supplier program shall be
based on the prior performance of a supplier and
the risk level of the raw materials ingredients,
packaging materials, and services supplied, and
shall contain as a minimum:
2.4.5.4 The approved supplier program shall be
based on the prior performance of a supplier and
the risk level of the raw materials ingredients,
packaging materials, and services supplied, and
shall contain as a minimum:
2.4.5.3 Records of inspections and analyses shall
be maintained.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
47
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
i.
Agreed specifications;
i.
Agreed specifications;
ii.
Reference to the rating of the level of risk
applied to a raw material ingredients,
packaging materials and services and the
approved supplier;
ii.
Reference to the rating of the level of risk
applied to a raw material ingredients,
packaging materials and services and the
approved supplier;
iii.
A summary of the food safety controls
implemented by the approved supplier;
iii.
iv.
Methods for granting approved supplier
status;
A summary of the food safety and quality
controls implemented by the approved
supplier;
iv.
v.
Methods and frequency
approved suppliers;
Methods for granting approved supplier
status;
v.
vi.
Details of the certificates of conformance
if required, and
Methods and frequency
approved suppliers;
vi.
vii.
Methods and frequency of reviewing
approved
supplier
performance
and
status.
Details of the certificates of conformance
if required; and
vii.
Methods and frequency of reviewing
approved
supplier
performance
and
status.
of
monitoring
2.4.5.5 A register of approved supplier and
records of inspections and audits of approved
suppliers shall be maintained.
2.4.6
Non-conforming Product or
Equipment
2.4.6.1 Non-conforming product, raw material,
ingredient,
work-in-progress,
packaging
or
equipment shall be quarantined, handled and
disposed of in a manner that minimizes the risk of
inadvertent use, improper use or risk to the
integrity of finished product.
2.4.6.2 Records of the handling and disposal of
non-conforming product shall be maintained.
of
monitoring
2.4.5.5 A register of approved supplier and
records of inspections and audits of approved
suppliers shall be maintained.
2.4.6
Non-conforming Product or
Equipment
2.4.6
Non-conforming Product or
Equipment
2.4.6.1 The responsibility and methods outlining
how non-conforming product, raw material,
ingredient,
work-in-progress,
packaging
or
equipment detected during receipt, storage,
processing, handling or delivery is handled shall be
documented and implemented.
The methods
applied shall ensure:
2.4.6.1 The responsibility and methods outlining
how non-conforming product, raw material,
ingredient,
work-in-progress,
packaging
or
equipment detected during receipt, storage,
processing, handling or delivery is handled shall be
documented and implemented.
The methods
applied shall ensure:
i.
Non-conforming product is quarantined,
identified, handled and disposed of in a
manner that minimizes the risk of inadvertent
use, improper use or risk to the integrity of
finished product; and
i.
Non-conforming product is quarantined,
identified, handled and disposed of in a
manner that minimizes the risk of
inadvertent use, improper use or risk to
the integrity of finished product; and
ii.
Non-conforming equipment is effectively
repaired or disposed of in a manner that
minimizes the risk of inadvertent use,
improper use or risk to the integrity of
finished product; and
ii.
Non-conforming equipment is effectively
repaired or disposed of in a manner that
minimizes the risk of inadvertent use,
improper use or risk to the integrity of
finished product; and
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
48
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
All relevant staff is aware of the
organization’s quarantine and release
requirements applicable to equipment or
product placed under quarantine status.
iii.
All relevant staff is aware of the
organization’s quarantine and release
requirements applicable to equipment or
product placed under quarantine status.
For producers, the procedure must document
the grower, field name, quantity and final
disposition of the unacceptable materials
when applicable.
2.4.6.2 Quarantine records, and records of the
handling, corrective action, or disposal of nonconforming product or equipment shall be
maintained.
iv.
For producers, the procedure must
document the grower, field name,
quantity and final disposition of the
unacceptable materials when applicable.
2.4.6.2 Quarantine records, and records of the
handling, corrective action, or disposal of nonconforming product or equipment shall be
maintained.
2.4.7
2.4.7
iii.
iv.
2.4.7
Product Rework
2.4.7.1 Rework (recycle or recoup) activities shall
be controlled and traceability ensured.
2.4.8
Product Release (M)
This clause is not applied at level 1.
Product Rework
2.4.7.1 The responsibility and methods outlining
how the product is reworked (recycled or recouped)
shall be documented and implemented.
The
methods applied shall ensure:
Product Rework
2.4.7.1 The responsibility and methods outlining
how the product is reworked (recycled or recouped)
shall be documented and implemented.
The
methods applied shall ensure:
i.
Reworking operations are supervised by
qualified personnel;
i.
Reworking operations are supervised by
qualified personnel;
ii.
Reworked product is clearly identified and
traceable;
ii.
Reworked product is clearly identified and
traceable;
iii.
Each batch of reworked product is
inspected or analyzed as required before
release;
iii.
Each batch of reworked product is
inspected or analyzed as required before
release;
iv.
Inspections and analyses shall conform to
the requirements outlined in element
2.5.6; and
iv.
Inspections and analyses shall conform to
the requirements for verification outlined
in element 2.5.6; and
v.
Release of reworked product shall conform
to the requirements outlined in element
2.4.8.
v.
Release of reworked product shall conform
to the requirements outlined in element
2.4.8.
2.4.7.2 Records of all reworking operations shall
be maintained.
2.4.7.2 Records of all reworking operations shall
be maintained.
2.4.8
2.4.8
Product Release (M)
2.4.8.1 The responsibility and methods for
releasing products shall be documented and
implemented. The methods applied shall ensure
the product is released:
Product Release (M)
2.4.8.1 The responsibility and methods for
releasing products shall be documented and
implemented. The methods applied shall ensure
the product is released:
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
49
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
i.
ii.
By authorized personnel; and
Once all inspections and analyses are
successfully completed and documented to
verify legislative and other established
food safety controls have been met.
2.4.8.2 Records of all product release shall be
maintained.
i.
ii.
By authorized personnel;
iii.
Once sensory analysis and other
evaluations are satisfactorily completed to
verify customer specifications have been
met.
Once all inspections and analyses are
successfully completed and documented to
verify legislative and other established
food safety controls have been met; and
2.4.8.2 Records of all product release shall be
maintained.
2.4.9
Stock Rotation
2.4.9
Stock Rotation
2.4.9
Stock Rotation
2.4.9.1 Effective stock rotation principles shall be
applied.
2.4.9.1 The responsibility and methods for
ensuring effective stock rotation principles are
applied shall be documented and implemented.
2.4.9.1 The responsibility and methods for
ensuring effective stock rotation principles are
applied shall be documented and implemented.
2.5
SQF System Verification
2.5
2.5
SQF System Verification
Responsibility, Frequency and Methods
2.5.1
Responsibility, Frequency and
Methods
2.5.1
Responsibility, Frequency and Methods
2.5.1.1 Validation and verification activities shall be
the responsibility of the SQF practitioner.
2.5.1.1 Validation and verification activities shall be
the responsibility of the SQF practitioner.
2.5.1.1 Validation and verification activities shall be
the responsibility of the SQF practitioner.
2.5.1.2 The frequency and methods used to
validate and verify critical limits established for
those hazards associated with the source, storage
and use of production inputs, and the application
of pre-requisite programs shall be documented
and implemented.
2.5.1.2 The frequency and methods used to validate
and verify food safety fundamentals, critical limits,
and other food safety controls identified in food safety
plans shall be documented and implemented and meet
their intended purpose.
2.5.1.2 The frequency and methods used to
validate and verify food safety fundamentals,
critical limits, and other food safety and quality
controls identified in food safety plans and food quality
plans shall be documented and implemented and
meet their intended purpose.
SQF System Verification
+
2.5.1
2.5.1.3 Records of all verification activities shall be
maintained.
2.5.1.3 Records of all verification activities shall be
maintained.
2.5.1.3 Records of all verification activities shall be
maintained.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
50
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.5.2
2.5.2
2.5.2
Validation & Effectiveness (M)
2.5.2.1 The methods, responsibility and criteria
for ensuring the effectiveness of pre-requisite
programs to ensure they achieve their intended
purpose shall be documented and implemented.
Validation & Effectiveness (M)
2.5.2.1 The methods, responsibility and criteria
for ensuring the effectiveness of pre-requisite
programs, and validating critical food safety limits
to ensure they achieve their intended purpose shall
be documented and implemented. The methods
applied shall ensure that:
Pre-requisite programs are confirmed to
ensure they achieve the required result.
i.
Pre-requisite programs are confirmed to
ensure they achieve the required result.
ii.
Critical limits are selected to achieve the
designated level of control of the identified
food safety hazard(s); and
ii.
iii.
All critical limits and control measures
individually or in combination effectively
provide the level of control required.
Critical limits are selected to achieve the
designated level of control of the identified
food safety hazard(s) or threat to the
achievement of food quality; and
iii.
Changes to the processes or procedures are
assessed to ensure controls are still
effective.
All critical limits and control measures
individually or in combination effectively
provide the level of control required.
iv.
Changes to the processes or procedures
are assessed to ensure controls are still
effective.
v.
Critical food safety and quality limits are
re-validated at least annually.
v.
Critical food safety limits are re-validated at
least annually.
2.5.2.2 Records of all validation activities shall be
maintained.
Verification Schedule
2.5.3
Verification Schedule
2.5.3.1 A verification schedule outlining the
verification activities, their frequency of completion
and the person responsible for each activity shall
be prepared and implemented.
2.5.3.1 A verification schedule outlining the
verification activities, their frequency of completion
and the person responsible for each activity shall
be prepared and implemented.
2.5.4
2.5.4
(M)
Verification of Monitoring Activities (M)
2.5.4.1 Monitoring activities associated with prerequisite programs and other food safety controls
shall be verified.
2.5.2.1 The methods, responsibility and criteria
for ensuring the effectiveness of pre-requisite
programs, and validating critical food safety and
quality limits to ensure they achieve their intended
purpose shall be documented and implemented.
The methods applied shall ensure that:
i.
iv.
2.5.3
Validation & Effectiveness (M)
Verification of Monitoring Activities
2.5.4.1 The methods, responsibility and criteria
for verifying the effectiveness of monitoring prerequisite programs critical control points and other
food safety controls identified shall be documented
and implemented.
The methods applied shall
ensure that personnel with responsibility for
verifying monitoring activities authorize each
record verified.
2.5.2.2 Records of all validation activities shall be
maintained.
2.5.3
Verification Schedule
2.5.3.1 A verification schedule outlining the
verification activities, their frequency of
completion and the person responsible for each
activity shall be prepared and implemented.
2.5.4
Verification of Monitoring Activities (M)
2.5.4.1 The methods, responsibility and criteria
for verifying the effectiveness of monitoring prerequisite programs, critical control points, critical
quality points and other food safety and quality
controls identified shall be documented and
implemented. The methods applied shall ensure
that personnel with responsibility for verifying
monitoring activities authorize each record verified.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
51
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.5.4.2 Records of the verification of monitoring
activities shall be maintained.
2.5.4.2 Records of the verification of monitoring
activities shall be maintained.
2.5.5 Corrective and Preventative Action (M)
2.5.5
(M)
2.5.5 Corrective and Preventative Action (M)
2.5.5.1 Corrective action shall be undertaken to
resolve non-compliance.
2.5.5.1 The responsibility and methods outlining
how corrections and corrective actions are
investigated, resolved, managed and controlled,
including the identification of the root cause and
resolution of non-compliance of critical food safety
limits, and deviations from food safety
requirements, shall be documented and
implemented.
2.5.5.1 The responsibility and methods outlining
how corrections and corrective actions are
investigated, resolved, managed and controlled,
including the identification of the root cause and
resolution of non-compliance of critical food safety
and quality limits, and deviations from food safety
and quality requirements, shall be documented and
implemented.
2.5.5.2 Records of all investigation and resolution
of corrections and corrective action shall be
maintained.
2.5.5.2 Records of all investigation and resolution
of corrections and corrective action shall be
maintained.
2.5.6
Product Sampling, Inspection and
Analysis
2.5.6 Product
Analysis
2.5.6.1 The methods, responsibility and criteria
for sampling, inspecting and/or analyzing raw
materials, finished product and work in progress
shall be documented and implemented.
The
methods applied shall ensure:
2.5.6.1 The methods, responsibility and criteria
for sampling, inspecting and/or analyzing raw
materials, finished product and work in progress,
and for analyzing and assessing product quality
and sensory attributes shall be documented and
implemented. The methods applied shall ensure:
i. Inspections and analyses are completed at
regular intervals as required and to agreed
specification and legal requirements;
ii. Inspections are conducted to ensure raw
materials, work in process and finished
products comply with the relevant
specification, regulatory requirements, are
true to label and comply with weights and
measure requirements after shelf life trials
are completed; and
iii. All analyses are conducted to nationally
recognized methods or alternative methods
which are validated as equivalent to the
nationally recognized methods.
iv. Where external laboratories are utilized to
conduct input or product analysis, the
2.5.5.2 Records of corrective action shall be
maintained.
2.5.6
Product
Analysis
Sampling,
Inspection
This clause is not applied at level 1.
and
i.
ii.
iii.
iv.
Corrective and Preventative Action
Inspections and analyses are completed at
regular intervals as required and to agreed
specification and legal requirements;
Inspections are conducted to ensure raw
materials, work in process and finished
products comply with the relevant
specification, regulatory requirements and
are true to label; and
All analyses are conducted to nationally
recognized methods or alternative methods
which are validated as equivalent to the
nationally recognized methods.
Where external laboratories are utilized to
conduct input or product analysis, the
laboratories shall be accredited to ISO
17025 or an equivalent national standard.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
52
Sampling,
Inspection
and
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.5.6.2 Records of all inspections and analyses
shall be maintained.
v.
vi.
vii.
laboratories shall be accredited to ISO
17025 or an equivalent national standard.
Sensory analysis and evaluations are
completed after shelf life trials, as
appropriate, and at intervals designed to
demonstrate the products sensory
characteristics are consistently being
achieved;
Sensory evaluations comply with the
relevant product sensory attributes specified
by the customer; and
Sensory evaluations are conducted by
trained personnel in accordance with
established methods or as specified by the
customer.
2.5.6.2 Records of all inspections, analyses,
sensory evaluations and actions arising from
inspections, analyses and sensory evaluations shall
be maintained.
2.5.7
Internal Audits (M)
2.5.7
2.5.7.1 Regular inspections of the facility and
equipment shall be planned and carried out to
verify the effectiveness of the SQF System. The
supplier shall:
i.
Take correction and corrective action; and
ii.
Maintain records of inspections and any
corrective action taken.
Internal Audits (M)
2.5.7.1 The methods and responsibility for
scheduling and conducting internal audits to verify
the effectiveness of the SQF System including
facility and equipment inspections, pre-requisite
programs, food safety plans and legislative controls
shall be documented and implemented. The
methods applied shall ensure:
2.5.7
Internal Audits (M)
2.5.7.1 The methods and responsibility for
scheduling and conducting internal audits to verify
the effectiveness of the SQF System including
facility and equipment inspections, pre-requisite
programs, food safety plans, food quality plans and
legislative controls shall be documented and
implemented. The methods applied shall ensure:
i.
An internal audit schedule is prepared
detailing the scope and frequency of
internal audits;
i.
An internal audit schedule is prepared
detailing the scope and frequency of
internal audits;
ii.
Correction and corrective action of
deficiencies identified during the internal
audits are undertaken;
ii.
Correction and corrective action of
deficiencies identified during the internal
audits is undertaken;
iii.
Audit results are communicated to
relevant management personnel and staff
responsible for implementing and verifying
corrective actions; and
iii.
Audit results are communicated to
relevant management personnel and staff
responsible for implementing and verifying
corrective actions; and
iv.
Records of internal audits and any
corrections and corrective action taken as
a result of internal audits shall be
maintained.
iv.
Records of internal audits and any
corrections and corrective action taken as
a result of internal audits shall be
maintained.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
53
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.5.7.2 Staff conducting internal audits shall be
trained in internal audit procedures.
2.5.7.2 Staff conducting internal audits shall be
trained in internal audit procedures.
2.5.7.3 Where possible staff conducting internal
Audits shall be independent of the function being
audited.
2.5.7.3 Where possible staff conducting internal
audits shall be independent of the function being
audited.
2.6
Product Identification, Trace,
Withdrawal and Recall
2.6 Product Identification, Trace,
Withdrawal and Recall
2.6
Product Identification, Trace,
Withdrawal and Recall
2.6.1
Product Identification (M)
2.6.1
2.6.1
Product Identification (M)
2.6.1.1 A product identification system shall be
implemented to ensure:
i.
Product is clearly identified during all
stages of receipt, production, storage and
dispatch; and
ii.
Finished product is labeled to the
customer specification and/or regulatory
requirements.
2.6.1.2 Product identification
maintained.
records
shall
be
Product Identification (M)
2.6.1.1 The methods and responsibility for
identifying products during all stages of production
and
storage
shall
be
documented
and
implemented. The product identification system
shall be implemented to ensure:
i.
Raw materials, work in progress and
finished product are clearly identified during
all stages of receipt, production, storage
and dispatch; and
i.
Raw materials, work in progress and
finished product are clearly identified during
all stages of receipt, production, storage
and dispatch; and
ii.
Finished product is labeled to the customer
specification and/or regulatory
requirements.
ii.
Finished product is labeled to the customer
specification and/or regulatory
requirements.
2.6.1.2 Product
maintained.
2.6.2
Product Trace (M)
2.6.2.1 A product trace
implemented to ensure:
i.
ii.
iii.
2.6.2
system
shall
be
Finished product is traceable to the
customer (one up) and provides
traceability through the process to raw
materials, food contact packaging and
materials and other inputs (one back);
Traceability is maintained where product is
reworked; and
The effectiveness of the product trace
system shall be tested at least annually.
2.6.1.1 The methods and responsibility for
identifying products during all stages of production
and
storage
shall
be
documented
and
implemented. The product identification system
shall be implemented to ensure:
identification
records
shall
be
Product Trace (M)
2.6.2.1 The responsibility and methods used to
trace
product
shall
be
documented
and
implemented to ensure:
2.6.1.2 Product
maintained.
2.6.2
identification
records
shall
be
Product Trace (M)
2.6.2.1 The responsibility and methods used to
trace
product
shall
be
documented
and
implemented to ensure:
i.
Finished product is traceable to the
customer (one up) and provides
traceability through the process to the
supplier and date of receipt of raw
materials, food contact packaging and
materials and other inputs (one back);
i.
Finished product is traceable to the
customer (one up) and provides
traceability through the process to the
supplier and date of receipt of raw
materials, food contact packaging and
materials and other inputs (one back);
ii.
Traceability is maintained where product is
reworked; and
ii.
Traceability is maintained where product is
reworked; and
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
54
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.6.2.2 Records of raw and packaging material
receipt and use, and product dispatch and
destination shall be maintained.
2.6.3
Product Withdrawal and Recall (M)
2.6.3.1 The supplier shall outline the methods and
responsibility for notifying their customers and
other essential bodies where circumstances arise
that require product to be withdrawn or recalled
from distribution.
iii.
The effectiveness of the product trace
system shall be tested at least annually.
2.6.2.2 Records of raw and packaging material
receipt and use, and product dispatch and
destination shall be maintained.
2.6.3
2.6.3
Product Withdrawal and Recall (M)
2.6.3.1 The responsibility and methods used to
withdraw or recall product shall be documented and
implemented. The procedure shall:
Identify those responsible for initiating,
managing and investigating a product
withdrawal or recall;
i.
ii.
Describe the management procedures to be
implemented including sources of legal and
expert advice; and
ii.
iii.
Outline a communication plan to inform
customers, consumers, authorities and
other essential bodies in a timely manner
appropriate to the nature of the incident.
2.6.3.4 Records of all product withdrawals and
recalls shall be maintained.
2.7.1
Food Defense (M)
2.7
Site Security
2.7.1
Food Defense (M)
Product Withdrawal and Recall (M)
2.6.3.1 The responsibility and methods used to
withdraw or recall product shall be documented and
implemented. The procedure shall:
i.
2.6.3.3 The product withdrawal and recall system
shall be reviewed, tested and verified as effective
at least annually.
Site Security
The effectiveness of the product trace
system shall be tested at least annually.
2.6.2.2 Records of raw and packaging material
receipt and use, and product dispatch and
destination shall be maintained.
2.6.3.2 Investigation shall be undertaken to
determine the root cause of a withdrawal or recall
and details of investigations and any action taken
shall be documented.
2.7
iii.
iii.
Identify those responsible for initiating,
managing and investigating a product
withdrawal or recall;
Describe the management procedures to
be implemented including sources of legal
and expert advice; and
Outline a communication plan to inform
customers, consumers, authorities and
other essential bodies in a timely manner
appropriate to the nature of the incident.
2.6.3.2 Investigation shall be undertaken to
determine the root cause of a withdrawal or recall
and details of investigations and any action taken
shall be documented.
2.6.3.3 The product withdrawal and recall system
shall be reviewed, tested and verified as effective
at least annually.
2.6.3.4 Records of all product withdrawals and
recalls shall be maintained.
2.7
Site Security
2.7.1
Food Defense (M)
2.7.1.1 The methods, responsibility and criteria
for preventing food adulteration caused by a
deliberate act of sabotage or terrorist-like incident
shall
be
documented,
implemented
and
maintained.
2.7.1.1 The methods, responsibility and criteria
for preventing food adulteration caused by a
deliberate act of sabotage or terrorist-like incident
shall
be
documented,
implemented
and
maintained.
2.7.1.1 The methods, responsibility and criteria
for preventing food adulteration caused by a
deliberate act of sabotage or terrorist-like incident
shall
be
documented,
implemented
and
maintained.
2.7.1.2 A food defense protocol shall be prepared
2.7.1.2 A food defense protocol shall be prepared
2.7.1.2 A food defense protocol shall be prepared
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
55
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
and include:
and include:
and include:
i.
The name of the senior management
person responsible for food defense;
i.
ii.
The methods implemented to ensure only
authorized personnel have access to
manufacturing and storage areas through
designated access points;
ii.
iii.
The methods implemented to protect
sensitive processing points from
intentional adulteration;
iii.
iv.
The measures taken to ensure the secure
storage of raw materials, packaging,
equipment and hazardous chemicals;
iv.
v.
The measures implemented to ensure
finished product is held under secure
storage and transportation conditions; and
v.
vi.
The methods implemented to record and
control access to the premises by
employees, contractors, and visitors.
2.8
Identity Preserved Foods
2.8.1
General Requirements
Preserved Foods
This clause is not applied at level 1.
for
vi.
2.8
Identity
The name of the senior management
person responsible for food defense;
The methods implemented to ensure only
authorized personnel have access to
crops, production equipment and vehicles,
manufacturing and storage areas through
designated access points;
The methods implemented to protect
sensitive processing points from
intentional adulteration;
The measures taken to ensure the secure
storage of raw materials, packaging,
equipment and hazardous chemicals;
The measures implemented to ensure
harvested crop and/or finished product is
held under secure storage and
transportation conditions; and
The methods implemented to record and
control access to the premises by
employees, contractors, and visitors.
Identity Preserved Foods
i.
ii.
iii.
iv.
v.
vi.
2.8
The name of the senior management
person responsible for food defense;
The methods implemented to ensure only
authorized personnel have access to
crops, production equipment and vehicles,
manufacturing and storage areas through
designated access points;
The methods implemented to protect
sensitive processing points from
intentional adulteration;
The measures taken to ensure the secure
storage of raw materials, packaging,
equipment and hazardous chemicals;
The measures implemented to ensure
harvested crop and/or finished product is
held under secure storage and
transportation conditions; and
The methods implemented to record and
control access to the premises by
employees, contractors, and visitors.
Identity Preserved Foods
2.8.1
General Requirements for Identity
Preserved Foods
2.8.1
General Requirements
Preserved Foods
for
Identity
This clause is not applied at level 2.
2.8.1.1 The methods and responsibility for the
identification and processing of Kosher, HALAL,
organic, Genetically Modified Organisms (GMO)
food and other products requiring the preservation
of their identity preserved status shall be
documented and implemented.
2.8.1.2 Identification shall include a statement of
the product’s identity preserved status of all
ingredients, including additives, preservatives,
processing aids and flavorings.
2.8.1.3 Raw material and ingredient specifications
to
identity
preserved
foods
shall
include
requirements for their handling, transport, storage
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
56
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
and delivery prior to use.
2.8.1.4 Assurances concerning the raw material or
ingredient’s identity preserved status shall be by
agreement with the supplier.
2.8.1.5 The process description shall allow for a
product’s identity preserved status to be maintained
during manufacturing.
2.8.1.6 The processing of identity
foods shall be conducted under
conditions such that:
preserved
controlled
i.
Ingredients are physically separated from
ingredients identified as incompatible with
the identity preserved food;
ii.
Processing is completed in separate
rooms; or scheduled as the first
production run; or carried out after the
completion of a thorough sanitation of the
area and equipment; and
iii.
Finished product is stored and transported
in separate units or isolated by a physical
barrier from non-specialty product.
2.8.1.7 The identity preserved status shall be
declared in accordance with current legal
requirements.
2.8.1.8 Customer
requirements
concerning
identity preserved foods shall be included in the
finished product specification described in 2.3.5, or
label register, and implemented by the supplier.
2.8.2
Allergen Management
2.8.2
2.8.2.1 The responsibility and methods used to
control allergens and to prevent sources of
allergens from contaminating product shall be
documented and implemented. The allergen
management program shall include:
i.
A risk analysis of those raw materials,
ingredients and processing aids, including
food grade lubricants, that contain
allergens;
ii. A register of allergens which is applicable in
the country of manufacture and the
Allergen Management
2.8.2.1 The responsibility and methods used to
control allergens and to prevent sources of
allergens from contaminating product shall be
documented and implemented. The allergen
management program shall include:
2.8.2
Allergen Management
2.8.2.1 The responsibility and methods used to
control allergens and to prevent sources of
allergens from contaminating product shall be
documented and implemented.
The allergen
management program shall include
i.
A risk analysis of those raw materials,
ingredients and processing aids, including
food grade lubricants, that contain
allergens;
i.
A risk analysis of those raw materials,
ingredients and processing aids, including
food grade lubricants, that contain
allergens;
ii.
A register of allergens which is applicable
in the country of manufacture and the
ii. A register of allergens which is applicable
in the country of manufacture and the
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
57
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
country(ies) of destination;
country(ies) of destination;
iii. A list of allergens which is accessible by
relevant staff.
iv. The hazards associated with allergens and
their control shall be identified
v. Instructions on how to identify, handle,
store and segregate raw materials
containing allergens provided to staff
responsible for receiving those target raw
materials.
vi. Provision to clearly identify and segregate
foods that contain allergens
vii. Cleaning and sanitation of product contact
surfaces between line changeovers shall be
effective, appropriate to the risk and legal
requirements, and sufficient to remove all
potential allergens from product contact
surfaces, including aerosols as appropriate,
to prevent cross contact.
viii. Based on risk assessment, procedures for
verification of the effectiveness of the
cleaning and sanitation of areas and
equipment in which allergens are used shall
be effectively implemented.
ix. Separate handling and production
equipment where satisfactory line hygiene
and clean-up or segregation is not possible.
2.8.2.2 The product identification system shall
make provision for clear identification and labeling
in accordance with regulatory requirements of
those products produced on production lines and
equipment on which foods containing allergens
were manufactured.
country(ies) of destination;
iii.
A list of allergens which is accessible by
relevant staff.
iii. A list of allergens which is accessible by
relevant staff.
iv.
The hazards associated with allergens and
their control incorporated into the food
safety plan.
iv.
v.
Instructions on how to identify, handle,
store and segregate raw materials
containing allergens provided to staff
responsible for receiving those target raw
materials.
v. Instructions on how to identify, handle,
store and segregate raw materials
containing allergens provided to staff
responsible for receiving those target raw
materials.
vi.
Provision to clearly identify and segregate
foods that contain allergens.
vi. Provision to clearly identify and segregate
foods that contain allergens,
The hazards associated with allergens and
their control incorporated into the food
safety plan.
vii. Cleaning and sanitation of product contact
surfaces between line changeovers shall
be effective, appropriate to the risk and
legal requirements, and sufficient to
remove all potential target allergens from
product contact surfaces, including
aerosols as appropriate, to prevent cross
contact.
vii. Cleaning and sanitation of product contact
surfaces between line changeovers shall
be effective, appropriate to the risk and
legal requirements, and sufficient to
remove all potential target allergens from
product contact surfaces, including
aerosols as appropriate, to prevent cross
contact.
viii. Based on risk assessment, procedures for
validation
and
verification
of
the
effectiveness
of
the
cleaning
and
sanitation of areas and equipment in
which allergens are used shall be
effectively implemented.
viii. Based on risk assessment, procedures for
validation
and
verification
of
the
effectiveness
of
the
cleaning
and
sanitation of areas and equipment in
which allergens are used shall be
effectively implemented.
Separate
handling
and
production
equipment where satisfactory line hygiene
and clean-up or segregation is not
possible.
handling
and
production
ix. Separate
equipment where satisfactory line hygiene
and clean-up or segregation is not
possible.
ix.
2.8.2.3 The product trace system shall take into
consideration the conditions under which allergen
containing foods are manufactured and ensure full
trace back of all ingredients used.
2.8.2.2 The product identification system shall
make provision for clear identification and labeling
in accordance with regulatory requirements of
those products produced on production lines and
equipment on which foods containing allergens
were manufactured.
2.8.2.2 The product identification system shall
make provision for clear identification and labeling
in accordance with regulatory requirements of
those products produced on production lines and
equipment on which foods containing allergens
were manufactured.
2.8.2.4 Re-working of product containing allergen
causing agents shall be conducted under conditions
that ensure product safety and integrity is
maintained. Re-worked product containing
2.8.2.3 The product trace system shall take into
consideration the conditions under which allergen
containing foods are manufactured and ensure full
trace back of all ingredients used.
2.8.2.3 The product trace system shall take into
consideration the conditions under which allergen
containing foods are manufactured and ensure full
trace back of all ingredients used.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
58
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
allergens shall be clearly identified and traceable.
2.8.2.4 Re-working of product containing allergen
causing agents shall be conducted under conditions
that ensure product safety and integrity is
maintained. Re-worked product containing
allergens shall be clearly identified and traceable.
2.8.2.4 Re-working of product containing allergen
causing agents shall be conducted under conditions
that ensure product safety and integrity is
maintained.
Re-worked product containing
allergens shall be clearly identified and traceable.
2.9
Training
2.9
Training
2.9
Training
2.9.1
Training Requirements
2.9.1
Training Requirements
2.9.1
Training Requirements
2.9.1.1 Appropriate training shall be provided for
personnel carrying out the tasks critical to the
effective implementation of the SQF level 1 System
and the maintenance of food safety and regulatory
requirements.
2.9.1.1 Appropriate training shall be provided for
personnel carrying out the tasks critical to the
effective implementation of the SQF level 2 System
and the maintenance of food safety and regulatory
requirements.
2.9.1.1 Appropriate training shall be provided for
personnel carrying out the tasks critical to the
effective implementation of the SQF level 3 System
and the maintenance of food safety, regulatory
requirements, and quality.
2.9.2
2.9.2
2.9.2
Training Program (M)
2.9.2.1 An employee training program shall be
documented and implemented. It shall outline the
necessary competencies for specific duties and the
training methods to be applied for those staff
carrying out tasks associated with:
i.
Developing and applying Good Agricultural
Practices, Good Aquaculture Practices, or
Good
Manufacturing
Practices
(as
appropriate).
ii.
Applying food regulatory requirements;
Training Program (M)
2.9.2.1 An employee training program shall be
documented and implemented. It shall outline the
necessary competencies for specific duties and the
training methods to be applied for those staff
carrying out tasks associated with:
Developing and applying Good Agricultural
i.
Practices, Good Aquaculture Practices, or
Good Manufacturing Practices (as
appropriate).
ii.
Applying food regulatory requirements;
iii.
Steps identified by the hazard analysis and/or
other instructions as critical to effective
implementation of the food safety plan and
the maintenance of food safety; and
iv.
Tasks identified as critical to meeting the
effective implementation and maintenance of
the SQF System.
Training Program (M)
2.9.2.1 An employee training program shall be
documented and implemented. It shall outline the
necessary competencies for specific duties and the
training methods to be applied for those staff
carrying out tasks associated with:
i. Developing and applying Good Agricultural
Practices, Good Aquaculture Practices, or Good
Manufacturing Practices (as appropriate).
ii. Applying food regulatory requirements;
iii. Steps identified by the hazard analysis and
other instructions as critical to effective
implementation of the food safety plan and the
maintenance of food safety;
iv. Steps identified as critical to effective
implementation of the food quality plan and the
maintenance of food quality; and
v. Tasks identified as critical to meeting the
effective implementation and maintenance of
the SQF System.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
59
Module 2: SQF System Elements
The SQF Code, Edition 7
First published May 1995
LEVEL 1 Food Safety Fundamentals
LEVEL 2 Food Safety Plan
LEVEL 3 Food Quality Plan
(accredited certification)
(accredited certification, GFSI recognition)
(accredited certification, GFSI + Quality
Management)
2.9.3
2.9.3
2.9.3
Instructions
2.9.3.1 Instructions shall be available explaining
how all tasks related to food safety and regulatory
compliance are to be performed.
2.9.4
HACCP Training Requirement
Instructions
2.9.3.1 Instructions shall be available explaining
how all tasks critical to meeting regulatory
compliance, the maintenance of food safety and
process efficiency are to be performed.
2.9.4
HACCP Training Requirement
Instructions
2.9.3.1 Instructions shall be available explaining
how all tasks critical to meeting customer
specifications,
regulatory
compliance,
the
maintenance of food safety, quality and process
efficiency are to be performed.
2.9.4
HACCP Training Requirement
This clause is not applied at level 1.
2.9.4.1 HACCP training shall be provided for staff
involved in developing and maintaining food safety
plans.
2.9.4.1 HACCP training shall be provided for staff
involved in developing and maintaining food safety
plans and food quality plans.
2.9.5
2.9.5
2.9.5
Language
Language
Language
2.9.5.1 Training materials and the delivery of
training shall be provided in language understood
by staff.
2.9.5.1 Training materials and the delivery of
training shall be provided in language understood
by staff.
2.9.5.1 Training materials and the delivery of
training shall be provided in language understood
by staff.
2.9.6
2.9.6
2.9.6
Refresher Training
Refresher Training
Refresher Training
2.9.6.1 The training program shall include
provision for identifying and implementing the
refresher training needs of the organization.
2.9.6.1 The training program shall include
provision for identifying and implementing the
refresher training needs of the organization.
2.9.6.1 The training program shall include
provision for identifying and implementing the
refresher training needs of the organization.
2.9.7
2.9.7
2.9.7
Training Skills Register
2.9.7.1 A training skills register describing who
has been trained in relevant skills shall be
maintained.
Training Skills Register
2.9.7.1 A training skills register describing who
has been trained in relevant skills shall be
maintained. The register shall indicate the:
i.
Training Skills Register
2.9.7.1 A training skills register describing who
has been trained in relevant skills shall be
maintained. The register shall indicate the:
Participant name;
i.
Participant name;
ii. Skills description;
ii.
Skills description;
iii. Description of the training provided;
iii.
Description of the training provided;
iv. Date training completed;
iv.
Date training completed;
v. Trainer or training provider; and
v.
Trainer or training provider; and
vi. Supervisor’s verification the training was
completed and that the trainee is competent
to complete the required tasks.
vi.
Supervisor’s verification the training was
completed and that the trainee is
competent to complete the required
tasks.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
60
The SQF Code, Edition 7
First published May 1995
Module 3: Good Agricultural Practices
for Single Feed Production
Module 3: Food Safety Fundamentals – Good Agricultural Practices
for Single Feed Production (GFSI F1)
This module covers the Good Manufacturing Practices requirements for the production of feed from a single food
source.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 2:
Growing and harvesting of animal feeds
Available July 2012
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
61
The SQF Code, Edition 7
First published May 1995
Module 4: Good Agricultural Practices
for Compound Feed Production
Module 4: Food Safety Fundamentals – Good Agricultural Practices
for Compound Feed Production (GFSI F2)
This module covers the Good Manufacturing Practices requirements for the production of feed from more than one
food source.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 34: Manufacture of animal feeds
Available July 2012
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
62
The SQF Code, Edition 7
First published May 1995
Module 5: Good Agricultural Practices
for Farming of Animal Products
Module 5: Food Safety Fundamentals – Good Agricultural Practices
for Farming of Animal Products (GFSI Al)
This Module covers the Good Agricultural Practices requirements for the production of animals (other than fish or
seafood) used for meat production, egg production, milk production, or honey production.
Supplier implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 1:
Production, capture, and harvesting of livestock and game animals
1A:
1B:
1C:
1D:
1E:
Free range animal production
Intensive animal production
Dairy farming
Game animals
Apiculture
5.1
Site Requirements
5.1.1
Property Location
5.1.1.1 The farm and facilities shall be such that adjacent and adjoining buildings, operations and land use do not
interfere with safe and hygienic operations on the property.
5.1.1.2 A soil map shall be prepared and risk assessment conducted to evaluate and document the risk to forage or
livestock associated with prior land use, adjacent land use, and other environmental factors including structures
and equipment. Consideration shall be given to the following:
i.
History of land use.
ii.
Topography.
iii.
Adjacent land use.
iv.
Other factors that may impact on the ability to supply safe products.
5.1.1.3 The analysis shall be re-evaluated in the event of any circumstance or change that may impact on the
production of safe products.
5.1.1.4 Where risks are identified, control measures shall be implemented to reduce the identified hazards to an
acceptable level.
5.2
Secure Housing of Livestock and Feed
5.2.1
Site Access and Security
5.2.1.1 Fields, yards, and other open areas where livestock are housed shall be fenced. The site entry point shall
be controlled by a lockable gate.
5.2.1.2 Where electric fences are employed, they shall be controlled to avoid stress or discomfort to fenced
livestock.
5.2.2
Pens and Yards
5.2.2.1 Pens, yards and lairage shall be designed, located, constructed and maintained so as to minimize stress,
injury or disease and have minimal impact on the surrounding area and natural resources.
5.2.2.2 Where animals are held for extended periods in pens and yards, adequate supplies of water and food shall
be provided.
5.2.2.3 Fences, gates, and other surfaces in pens and yards shall be free from paints, dips, sanitizers and other
materials that are likely to cause contamination through ingestion, inhalation, or contact.
5.2.3
Intensive Housing System
5.2.3.1 The design, location and construction of intensive housing System shall be fit for purpose, protect the
animals in expected extremes of climate, and provide sufficient space to enable the animals to lie down and allow
freedom of movement and have minimal impact on the surrounding area and natural resources.
5.2.3.2 Buildings used to house animals shall be signed as such, and forbid entry of unauthorized persons.
5.2.3.3 Buildings used to house animals shall be adequately ventilated to promote a satisfactory living
environment and designed to enable effective drainage and a firm footing.
5.2.3.4 Provisions shall be made for sufficient supplies of water and food and for cleaning and waste removal.
5.2.3.5 Animal housing shall be maintained in a clean and sanitary condition.
5.2.4
Laneways, Races, Entrances, Exits and Loading/Unloading Ramps
5.2.4.1 Laneways, races, entrances, exits and loading/unloading ramps shall be designed to take advantage of the
social behavior and movement of the species and be designed and maintained to prevent any potential injury
points to animals. All flooring in laneways, races, exits and loading/unloading ramps shall be non-slip to prevent
slips and falls. All facilities must be well maintained.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
63
The SQF Code, Edition 7
First published May 1995
Module 5: Good Agricultural Practices
for Farming of Animal Products
5.2.4.2 Laneways, races, entrances, exits, and loading/unloading ramps shall be designed, constructed, and
maintained of materials that do not contaminate animals through ingestion, inhalation, or contact, and shall be free
from sharp objects that may damage animals.
5.2.5
Buildings for Storage of Feed, Agricultural Chemicals, and Equipment
5.2.5.1 All buildings used to store equipment, veterinary and agricultural chemicals, or animal feed shall be
designed and constructed so as to permit compliance to good hygiene practices and avoid product contamination.
They shall be kept clean.
5.2.5.2 Silos used to store feed shall be constructed of approved materials and designed to remain dry, clean and
free from any dirt residues, so they remain fit for purpose, in an acceptable condition, enable safe fumigation
practices and prevent the invasion of pests.
5.2.5.3 Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of feedstuffs,
veterinary chemicals, and containers and equipment used to dispense feed and veterinary chemicals, away from
farm machinery, hazardous chemicals and other toxic substances.
5.2.5.4 Veterinary medicines and medical equipment shall be stored in a secure area and accessed only by
authorized personnel.
5.2.6
Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction and Storage
5.2.6.1 Product contact surfaces on conveyors, harvesting and processing rigs shall be designed and constructed
to allow for the efficient handling of products and those surfaces in direct contact with products shall be constructed
of materials that will not contribute a food or feed safety risk.
5.2.6.2 Provisions shall be made for the washing and storage of processing rigs, equipment, conveyors, totes,
trays containers and utensils.
5.2.6.3 Provisions shall be made to store farm machinery separate from feed conveyors, harvesting and
processing rigs.
5.2.7
Vehicles, Equipment and Utensils
5.2.7.1 Equipment, tools, utensils used for animal health shall be suitable for use, non-toxic, kept clean and
sanitized, and stored in such a way as to avoid contamination.
5.2.7.2 Equipment, tools, utensils and other items or materials that are used for feeding of livestock or animal
health shall be kept in good repair, kept clean, and stored in such a way as to avoid contamination.
5.2.7.3 Veterinary equipment, including disposable medical items, shall be fit for purpose and maintained in a
clean and serviceable condition, and stored in a clean, safe, and secure store.
5.2.7.4 Water tanks and troughs shall be cleaned at a sufficient frequency so as not be a source of contamination.
5.2.7.5 A documented procedure regarding the inspection of forage harvest containers and pallets shall be
implemented. The procedure shall include the type and construction of harvest containers and packing materials.
5.2.7.6 The use of harvest containers for non-harvest purposes shall be clearly identified and not returned to use
for harvest without thorough cleaning and inspection.
5.2.7.7 Vehicles used for the transport of feedstuffs shall be fit for purpose and shall not be used to carry waste
materials, manure, chemicals or other hazardous substances that could cause feed contamination without thorough
cleaning and inspection.
5.2.7.8 Entry and exit points to the site shall be equipped for cleaning and sanitizing of vehicle wheels.
5.2.8
Maintenance Protocol
5.2.8.1 The methods and responsibility for maintenance of equipment and buildings shall be planned, scheduled
and carried out in a manner that prevents any risk of contamination of products or equipment.
5.2.9
Calibration of Equipment
5.2.9.1 The methods and responsibility for the calibration of application, measuring, test and inspection
equipment used for feed application, chemical application, and veterinary medicines shall be documented and
implemented.
5.2.9.2 Such equipment shall be calibrated against national or international reference standards and methods. In
cases where such standards are not available, the producer shall indicate and provide evidence to support the
calibration reference method applied.
5.2.9.3 Calibration shall be undertaken to an established schedule, to recognized standards or to accuracy
appropriate to use.
5.2.9.4 Calibration records shall be maintained.
5.2.10 Pest and Vermin Management
5.2.10.1 The methods for controlling pest and vermin infestation on the site or facilities shall be documented and
implemented. The property, animal housing facilities, storage facilities, machinery and equipment shall be kept
free of waste or accumulated debris so as not to attract pests and vermin.
5.2.10.2
The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of the
pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
64
The SQF Code, Edition 7
First published May 1995
Module 5: Good Agricultural Practices
for Farming of Animal Products
iv.
Outline the methods used to eliminate pests when found;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make employees aware of the bait control program and the measures to
take when they come in contact with a bait station; and
ix.
Outline the requirements for employee awareness and training in the use of pest and vermin control
chemicals and baits.
5.2.10.3 Records of pest inspections and pest applications shall be maintained.
5.2.11 Animal Control
5.2.11.1 The operation shall have a written risk assessment on animal activity in and around the production of
feed or food crops that has been implemented and monitored.
5.2.11.2 Measures shall be in place to exclude domestic and wild animals from feed cultivation and from
production animals.
5.2.11.3 Where working dogs are used to muster production animals, the producer shall maintain and monitor the
health of the working dogs.
5.2.12 Cleaning and Sanitation
5.2.12.1 The methods and responsibility for the cleaning of animal housing, pens, yards, lairages, feed contact
equipment, animal health equipment, and sanitary facilities shall be documented and implemented. Consideration
shall be given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned; and
iv.
Who is responsible for the cleaning, and
v.
Who is responsible for the evaluation of the cleaning?
5.2.12.2 A verification schedule shall be prepared indicating the frequency of verifying the effectiveness the
cleaning of animal housing, pens, yards, lairages, feed contact equipment, animal health equipment, and sanitary
facilities, and indicating who is responsible for completing the verification activities.
5.2.12.3 The effectiveness of cleaning and sanitation programs shall be regularly reviewed and adapted as
needed based on environmental factors or disease risk.
5.2.12.4 A record of cleaning and sanitation activities shall be maintained.
5.3
Personal Hygiene and Welfare
5.3.1
Personnel Practices
5.3.1.1 Personnel engaged in the handling of livestock and feedstuffs shall observe appropriate personal practices.
Corrective actions shall be implemented for personnel who violate food safety practices.
5.3.1.2 Personnel suffering from, or are carriers of, an infectious zoonotic disease shall not engage in handling of
livestock or feedstuffs.
5.3.1.3 A medical screening procedure shall be in place for all employees, and will also be applicable to all visitors
and contractors.
5.3.1.4 A written policy shall be in place that specifies the procedures for handling livestock feed, and feed contact
surfaces that have been in contact with blood or other bodily fluids.
5.3.2
Sanitary Facilities and Hand Washing
5.3.2.1 Toilet facilities shall be provided and designed, constructed and located in a manner that minimizes the
potential risk for product contamination.
i.
Toilets shall cater for the maximum number of employees and be constructed so that they can be
easily cleaned and maintained.
ii.
Hand wash basins with clean water, hand soap, disposable towels or effective hand drying device,
waste bins and a tank that captures used hand wash water for disposal shall be provided inside or
adjacent to toilet facilities;
iii.
Signage in appropriate languages shall be provided adjacent to hand wash basins advising people to
wash their hands after each toilet visit.
iv.
Racks for protective clothing used by farm employees shall be provided;
v.
Toilets shall be located so as to provide easy access for farm workers;
vi.
Toilet and wash stations shall be maintained in a clean and sanitary condition.
5.3.2.2 Personnel shall have clean hands and hands shall be washed by all personnel:
i.
After each visit to a toilet;
ii.
After handling dirty or contaminated material; and
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
65
The SQF Code, Edition 7
First published May 1995
iii.
5.3.3
Module 5: Good Agricultural Practices
for Farming of Animal Products
After smoking, eating or drinking.
Protective Clothing
5.3.3.1 Protective clothing shall be effectively, maintained, stored, laundered and worn so as to protect products
from risk of contamination.
5.3.3.2 Where applicable, clothing, including footwear, shall be effectively cleaned and sanitized, and worn so as
to protect products from risk of contamination.
5.3.3.3 If rubber or disposable gloves are used, the operation shall have a glove use policy and personnel shall
adhere to the hand washing practices outlined above.
5.3.3.4 Entry annex points of the buildings shall be equipped with materials for cleaning and sanitizing footwear.
5.3.4
Jewelry and Personal Effects
5.3.4.1 Jewelry and other loose objects that pose a threat to livestock safety shall not be worn or taken onto any
livestock handling or feed storage operations.
5.3.5
Visitors
5.3.5.1 All visitors (including management and maintenance employees) shall be required to remove jewelry and
other loose objects and wear suitable protective clothing.
5.3.5.2 Visitors exhibiting visible signs of illness shall be prevented from entering any livestock handling, feed
storage, or field operations.
5.3.5.3 Visitors must follow all personnel practices as designated by company for employees within fields, pens,
yards, sheds, or storage locations.
5.3.5.4 Children shall not be permitted to enter any animal handling or storage area and must be supervised at all
times while on site.
5.3.6
Amenities
5.3.6.1 Provisions shall be made to store employee personal belongings away from livestock, crops, harvesting
and field processing operations, and processing equipment.
5.3.6.2 Areas for meal breaks shall be designated and located away from animal or feed contact/handling zones
and processing equipment.
5.3.6.3 Potable drinking water shall be available to all field employees.
5.3.7
First Aid
5.3.7.1 First aid facilities shall be available and maintained to treat minor injuries and suitable arrangements shall
be provided in circumstances when a patient requires more specialized care.
5.3.7.2 First aid kits shall be kept in a sanitary and usable condition.
5.4
Field and Animal Husbandry Practices
5.4.1
Field Handling Practices
5.4.1.1 Appropriate personnel practices shall be employed by field packing employees which include:
i.
Aprons and gloves shall be kept clean;
ii.
Aprons and gloves shall not be left on products, work surfaces, equipment or packaging material but
hung on apron and glove racks provided;
iii.
All products and packaging material shall be kept off the ground and the floor of the transport vehicle;
iv.
Waste shall be contained in the bins identified for this purpose. Waste shall not come in contact with
livestock or feed and be removed on a regular basis and not left to accumulate.
5.4.1.2 Measures shall be implemented to prevent cross-contamination of livestock or feed product from
chemicals, oils and lubricants, and /or personnel.
5.4.2
Animal Husbandry Practices
5.4.2.1 The producer shall apply good animal husbandry practices for the type of animal under their care and shall
ensure that the basic needs of animals, whether held under an extensive grazing, close confinement or intensive
housing conditions, are maintained.
5.4.2.2 Employees responsible for the care and management of animals shall be trained and competent in animal
handling and welfare. They shall be able to recognize the early signs of distress and disease and ensure stress to
animals is minimized.
5.4.2.3 A written procedure regarding the handling of livestock shall be implemented and maintained. The policy
shall assure that employees handling livestock ensure that:
i.
Animals have an adequate source of clean feed and uncontaminated water at all times;
ii.
Animals are herded and housed in such a way as to avoid damage or stress to the animals;
iii.
Animal manure and contaminated yard water is regularly removed and stored;
iv.
Measures to inspect for physical hazards and procedures to remove physical hazards are in place;
v.
Diseased or medicated animals are segregated from healthy animals;
vi.
Personnel dealing with or treating diseased animals do not come into contact with healthy animals.
5.4.2.4 Materials and equipment that comes in contact with production animals shall be clean and in good repair.
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5.5
Water Management
5.5.1
Water for Livestock Production
Module 5: Good Agricultural Practices
for Farming of Animal Products
5.5.1.1 Water for livestock production shall be drawn from a known clean source or treated to make it suitable for
use.
5.5.1.2 The producer shall conduct an analysis of the hazards to the water supply from source through to
application, establish acceptance criteria for the monitoring of water and validate and verify the integrity of the
water used to ensure it is fit for the purpose.
5.5.1.3 Where water for livestock production is stored in tanks or troughs, the producer shall ensure that the
tanks or troughs are not a source of contamination.
5.5.1.4 Waste System intended to convey human or animal waste shall be separated from conveyances utilized to
deliver water for livestock production.
5.5.2
Treatment of Water for Livestock Production
5.5.2.1 In circumstances where water for livestock production is treated to render it acceptable, the water, after
treatment shall conform to the microbiological standards as outlined in element 5.5.3.
5.5.3
Water Management Plan
5.5.3.1 Water used for livestock production, mixing feeds, cleaning feed and veterinary equipment, and mixing
sanitizer solutions shall comply with potable water microbiological and chemical standards in the country of
production. Separate criteria shall be established for irrigation and other agricultural water, as applicable, based
on the hazard analysis and any application legislation, if applicable.
The water management plan shall include the following:
i.
Preventive controls;
ii.
Monitoring and verification procedures
iii.
Corrective actions
iv.
Documentation
5.5.3.2 Where necessary, water testing shall be part of the water management plan, as directed by the water risk
assessment and current industry standards or regulations for the commodity being produced. Water analysis, if
applicable, shall be undertaken by an approved laboratory accredited to ISO 17025 or equivalent.
5.5.3.3 Water quality shall be monitored to verify it complies with the established standard or criteria. A
verification schedule shall be prepared indicating the location and frequency of monitoring, which shall be decided
by the hazard analysis, or applicable legislation.
5.5.4
Corrective Actions
5.5.4.1 When monitoring shows that water for livestock production (or other uses identified under element
5.5.3.1) does not meet established criteria or standard, the producer shall have a corrective action plan developed
which may include additional treatment for water, additional sources for water, livestock identification and
disposition or other alternative actions to adequately control the identified hazards.
5.6
Storage and Transport
5.6.1
Storage of Livestock, Animal Feed and Veterinary Medicines
5.6.1.1 Livestock shall be housed and transported under conditions that minimize the risk of microbiological or
chemical contamination, physical damage, or distress.
5.6.1.2 The producer shall implement measures to prevent cross-contamination of livestock, animal feed or
feeding utensils from agricultural chemicals, cleaning agents, waste materials, or personnel.
5.6.1.3 Animal feed shall be stored securely in clean, dry silos or sheds and handled separately from waste
materials, animal medication, and hazardous chemicals.
5.6.1.4 Animal feed sourced from different species, growers or manufacturers shall be stored separately by using
separate silos or storage areas.
5.6.1.5 Animal feed shall be checked regularly for cleanliness, temperature, suitability, and freedom from molds
and fungus. A record shall be maintained of feed checks.
5.6.1.6 Veterinary vaccines and medications shall be stored in secure, lockable storage, and in accordance with
regulatory requirements or, in the absence of regulatory requirements, manufacturer’s instructions.
5.6.2
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products
5.6.2.1 Hazardous chemicals, toxic substances, and petroleum products shall be specifically identified and stored
so as not to present a hazard to employees, products, product handling equipment or areas in which livestock is
handled, stored or transported.
5.6.2.2 Product contact chemicals such as pesticides and herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in their original containers.
5.6.2.3 Chemical storage sheds shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be ventilated to the exterior;
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The SQF Code, Edition 7
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Module 5: Good Agricultural Practices
for Farming of Animal Products
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of chemicals;
v.
Have instructions on the safe handling of hazardous chemicals readily accessible to employees;
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage
facility;
vii. Have suitable first aid equipment and protective clothing available in the storage area;
viii. Have emergency shower and/or wash facilities available in the event of an accidental spill; and
ix.
In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
x.
Be equipped with spillage kits and cleaning equipment.
5.6.2.4 Petroleum fuels, oils, grease and other lubricants shall be stored separate from other storage areas.
5.6.2.5 The storage of hazardous chemicals, toxic substances and petroleum products in areas (separate lockable
or otherwise contained) inside feed handling areas, or livestock holding areas is not acceptable.
5.6.3
Transport
5.6.3.1
The practices applied during loading, transport and unloading of livestock shall be documented,
implemented and designed to minimize damage and distress.
5.6.3.2
Employees involved in loading, transport and unloading livestock shall be appropriately trained.
5.7
Purchase and Use of Medications, Animal Feeds, and Agricultural Chemicals
5.7.1
Purchasing Vaccines and Medications
5.7.1.1 Vaccines and medications shall be purchased from an approved supplier in accordance with applicable
legislation, and be correctly labeled by the manufacturer.
5.7.1.2 An inventory of all animal medications purchased and used shall be maintained, including in-feed
medications. The producer shall provide proof of purchase for all animal medications included in the inventory and
used within the facility.
5.7.2
Application of Animal Medicines
5.7.2.1 An animal health plan indicating the use of a vaccine or medication for a target disease shall be prepared
and implemented. All vaccines and medicines must be used in accordance to label instructions, including
withholding periods.
5.7.2.2 Off label use of medications shall be approved by a registered veterinarian.
5.7.2.3 The person making decisions on administering a vaccination medication shall:
i.
Demonstrate knowledge of, and access to, information regarding medications and the maximum
residue levels allowable in destination markets;
ii.
Demonstrate competence and knowledge of the various methods of administering medications and
compliance with withholding periods; and
iii.
Maintain a current medication register and keep records of all medication purchased and used.
5.7.2.4 Where veterinary medication is required to be dispensed in feed, medicated feed shall be separately
identified and stored.
5.7.2.5 Where veterinary medication is required to be dispensed in water, medicated water shall be separately
identified and stored.
5.7.2.6 The producer shall dispose of unused animal medications, expired medications, empty containers and
disposable instruments in accordance with regulatory requirements and ensure that empty containers, used
needles and disposable instruments are not re-used; and are isolated and securely stored while awaiting disposal.
5.7.2.7 Where some or all of the living stock are found to be infected with a notifiable disease, the producer shall
have a system in place to quarantine the affected stock and take appropriate action to treat or dispose of the
affected stock.
5.7.3
Feed Management Plan
5.7.3.1 When the producer selects to purchase animal feed, it shall be purchased from an approved supplier in
accordance with applicable legislation and an agreed specification. A record of all animal feed purchased shall be
maintained.
5.7.3.2 The producer shall implement a feed management plan to maintain the safety and integrity of all animal
feed, whether purchased, or produced on site. Animal feed shall meet regulatory requirements and be managed to
minimize the potential for microbiological or chemical contamination.
The feed management plan shall include the following:
i.
Preventive controls;
ii.
Monitoring and verification procedures
iii.
Corrective actions
iv.
Documentation
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68
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Module 5: Good Agricultural Practices
for Farming of Animal Products
Feed quality shall be tested to verify that it complies with the established microbiological and chemical standard or
criteria. Feed analysis shall be undertaken by an approved laboratory accredited to ISO 17025 or equivalent.
5.7.3.3 Where animal feed is found to be contaminated or otherwise unsuitable for use, the producer shall have a
process in place to contain and remove the contaminated feed so as not to pose a food safety risk to livestock and
other farm products, and to clean and sanitize contaminated silos and equipment.
5.7.4
Soil Amendment
5.7.4.1 No raw untreated manure shall be used. Soil amendment treatment and application methods shall be
documented and implemented and designed to prevent contamination of products.
5.7.4.2 Soil amendment protocol shall outline the methods used to treat manure and other untreated organic
fertilizers ensuring:
i.
The treatment methods applied inactivate pathogens in organic soil amendments;
ii.
A hazard analysis of organic soil amendments treatment methods is conducted before use;
iii.
Treatment methods are validated and treatments of organic soil amendments are verified as being in
compliance with the method applied;
iv.
Records of the validation and verification of organic soil amendment treatments are maintained.
5.7.4.3 Soil amendment protocol shall outline the methods to ensure organic soil amendment applications are
timed to pose minimum risk to product safety and human health including:
5.7.5
i.
All applications of soil amendments are in accordance with national or local guidelines, best practices
and codes of Good Agricultural Practices;
ii.
Equipment used for soil amendment application is maintained in good condition and calibrated to
ensure accurate application;
iii.
Records of all equipment maintenance and calibration are maintained;
iv.
Signage complies with national & local codes of practice; and
v.
Sufficient data is recorded to provide a detailed record of soil amendment applications.
Agricultural Chemicals
5.7.5.1 Chemicals shall be purchased from an approved supplier in accordance with applicable legislation. An
inventory of all chemicals purchased and used shall be maintained.
5.7.5.2
A crop protection action plan indicating the applications used for a target pest or disease and the
threshold levels that initiate application shall be prepared and implemented.
5.7.5.3
If the product is intended for export, agricultural chemical use shall consider requirements in the
intended country of destination.
5.7.5.4
The person making decisions on chemical application shall:
i.
Demonstrate knowledge of, and access to, information regarding chemical applications and the
maximum residue limits allowable in destination markets;
ii.
Use only chemicals approved for use in the intended market;
iii.
Demonstrate competence and knowledge of chemical application and crop withholding periods;
iv.
Ensure crop applications and application rates for target pests and diseases comply with label
recommendations;
v.
Demonstrate the timing between chemical application and harvest complies with the approved
harvest interval for the chemical applied.
vi.
Maintain a current chemical register and keep records of all chemicals use.
5.7.5.5
The producer shall dispose of chemical waste and empty containers in accordance with regulatory
requirements and ensure that:
i.
Empty chemical containers are not re-used;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection;
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
5.8
Stock Identification and Traceability
5.8.1
Living Stock Records
5.8.1.1 All livestock shall be identified by an individual or batch identification system, and be traceable back to the
farm of birth.
5.8.1.2 The producer shall maintain a living stock record which includes current living stock on farm, stock
movement, stock transactions, and stock losses.
5.8.1.3 Records shall be maintained of living stock treated with approved veterinary medications and shall include
the application date and the withholding period for that medication.
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The SQF Code, Edition 7
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5.8.2
Module 5: Good Agricultural Practices
for Farming of Animal Products
Feed Identification and Traceability
5.8.2.1 All animal feed and feed additives shall be identified by a batch identification system and be traceable
back to the source, including name and address of the supplier and the batch number or manufacturer’s
identification mark.
5.8.2.2 The producer shall maintain records of the use of feed and feed additives.
5.9
Waste Disposal
5.9.1
Dry, Liquid Waste Disposal
5.9.1.1 Waste materials shall be regularly removed from the farm, field, pens, yards, livestock housing sheds and
the surrounding areas so as not to pose a food safety risk to livestock and other farm products.
5.9.1.2 The responsibility and methods for the effective and efficient disposal of all solid waste including inedible
material and disused packaging, and liquid and unsanitary waste shall be documented and implemented.
5.9.1.3 Areas where solid farm waste materials are stored shall be kept clean.
5.9.1.4 Animal carcasses for disposal shall be stored outside production areas. Carcass disposal companies shall
not pass through the production facilities to remove carcasses.
5.9.2
Liquid Waste
5.9.2.1 Drainage and waste disposal areas shall be designed and constructed so as to avoid contamination of
water courses and neighboring properties.
5.9.2.2 Untreated waste water and slurry from sewage plants shall be contained so that it does not contaminate
animal holding areas, pasture, crop cultivation, and water courses.
5.9.2.3 Liquid manure shall be stored in specially designed and constructed watertight containers, so as not to
pose a food safety risk to livestock and other farm products.
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70
The SQF Code, Edition 7
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Module 6: Good Aquaculture Practices
for Farming of Fish
Module 6: Food Safety Fundamentals – Good Aquaculture Practices
for Farming of Fish (GFSI All)
This Module covers the Good Aquaculture Practices requirements for the production of fish or seafood used for food
production.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 6:
Harvest and intensive farming of fish
6A:
Wild caught fish
6B:
Aquaculture and RTE fish
6.1
Location and Layout of Structures and Vessels
6.1.1
Aquaculture Sites
6.1.1.1 Aquaculture farms shall comply with local and national regulations and demonstrate legal authority for
land use, water use and effluent discharge.
6.1.1.2 Aquaculture farms shall be such that adjacent and adjoining buildings, operations and land use do not
interfere with the safe and hygienic operations on the property.
6.1.1.3 A risk assessment shall be conducted to evaluate and document the risk to products associated with prior
land use, adjacent land use, and other environmental factors including structures and equipment. Consideration
shall be given to the following:
i.
History of land use
ii.
Topography
iii.
Adjacent land use
iv.
Soil permeability
v.
Other factors that may impact on the ability to supply safe products.
6.1.1.4 The analysis shall be re-evaluated in the event of any circumstance or change that may impact on the
production of safe products.
6.1.1.5 Where risks are identified, control measures shall be implemented to reduce the identified hazards to an
acceptable level.
6.1.2
Vessels and Structures
6.1.2.1 Vessels, catch landing areas and land structures shall be designed and constructed to ensure that adjacent
buildings or operations do not interfere with their safe and hygienic operation.
6.1.2.2 Vessels, catch landing areas and land structures shall be designed and constructed so as to facilitate
cleaning and pest control, and be free of oil, grease or other contaminants.
6.2
Secure Housing of Fish Stock, Feed, and Equipment
6.2.1
Site Access and Security
6.2.1.1 Aquaculture farms shall be fenced and the entry points controlled by lockable gates. Only authorized
persons may gain entry to aquaculture farms and access to products, feedstock, and water supply.
6.2.1.2 Wild catch harvest, both on vessel and landed, are to be held in clean containers and protected from
unauthorized access or contamination sources.
6.2.2
Buildings used for Storage of Feed, Chemicals, and Equipment
6.2.2.1 All buildings used to store equipment, veterinary and aquaculture chemicals, or feedstock shall be
designed and constructed so as to permit compliance to good hygiene practices and avoid product contamination.
6.2.2.2 Buildings designated to store equipment, veterinary and aquaculture chemicals, or feedstock shall be kept
clean.
6.2.2.3 Silos used to store feed shall be constructed of approved materials and designed to remain dry, clean and
free from any dirt residues, so they remain fit for the purpose, in an acceptable condition, enable safe fumigation
practices and prevent the invasion of pests.
6.2.2.4 Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of feedstuffs,
veterinary chemicals, and containers and equipment used to dispense feed and veterinary chemicals, away from
machinery, hazardous chemicals and other toxic substances.
6.2.2.5 Veterinary medicines and medical equipment shall be stored in a secure area and accessed only by
authorized personnel.
6.2.3
Machinery, Conveyors, Harvesting and Processing Equipment Construction and Storage
6.2.3.1 Product contact surfaces on conveyors, harvesting and processing equipment on vessels or on aquaculture
farms shall be designed and constructed to allow for the efficient handling of products and those surfaces in direct
contact with products shall be constructed of materials that will not contribute a food or feed safety risk.
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Module 6: Good Aquaculture Practices
for Farming of Fish
6.2.3.2 Provisions shall be made for the washing and storage of harvesting and processing equipment, conveyors,
totes, trays containers and utensils.
6.2.3.3 Provisions shall be made to store nonfood-contact equipment separately from harvesting and processing
equipment.
6.2.4
Vehicles, Equipment and Utensils
6.2.4.1 Feed processing equipment including knives, totes, trays, conveyors, containers and other equipment,
including equipment used for animal health, shall be suitable for use and constructed from materials that are nontoxic, smooth, impervious and easily cleaned and sanitized.
6.2.4.2 Equipment, tools, utensils and other items or materials that are used for feeding of fish stock or fish
health shall be kept in good repair, kept clean and sanitized, and stored in such a way as to avoid contamination.
6.2.4.3 Veterinary equipment, including disposable medical items, shall be fit for purpose and maintained in a
clean and serviceable condition, and stored in a clean, safe, and secure store.
6.2.4.4 Water tanks shall be cleaned at a sufficient frequency so as not be a source of contamination.
6.2.4.5 Vehicles used for the transport of fish stock, feedstuffs, and ice shall be fit for purpose and shall not be
used to carry waste materials, chemicals or other hazardous substances that could cause contamination without
thorough cleaning and inspection.
6.2.5
Maintenance Protocol
6.2.5.1 The methods and responsibility for maintenance of vessels, equipment and buildings shall be planned,
scheduled and carried out in a manner that prevents any risk of contamination of products or equipment.
6.2.6
Calibration of Equipment
6.2.6.1 The methods and responsibility for the calibration and re-calibration of application, measuring, test and
inspection equipment used for measuring and monitoring feed application, chemical application, and veterinary
medicines shall be documented and implemented.
6.2.6.2 Equipment shall be calibrated against national or international reference standards and methods. In cases
where such standards are not available, the producer shall indicate and provide evidence to support the calibration
reference method applied.
6.2.6.3 Calibration shall be undertaken to an established schedule, to recognized standards or to accuracy
appropriate to use.
6.2.6.4 Calibration records shall be maintained.
6.2.7
Pest and Vermin Management
6.2.7.1 The methods for controlling pest and vermin infestation on the vessel, site or facilities shall be
documented and implemented. The property, storage facilities, machinery and equipment shall be kept free of
waste or accumulated debris so as not to attract pests and vermin.
6.2.7.2 The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of the
pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the methods used to eliminate pests when found;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make employees aware of the bait control program and the measures to
take when they come in contact with a bait station; and
ix.
Outline the requirements for employees’ awareness and training in the use of pest and vermin control
chemicals and baits.
6.2.7.3 Records of pest inspections and pest applications shall be maintained.
6.2.8
Animal Control
6.2.8.1 The operation shall have a written risk assessment on animal activity in and around the production of
feed, living stock, or wild catch that has been implemented and monitored.
6.2.9
Cleaning and Sanitation
6.2.9.1 The methods and responsibility for the cleaning of vessels, containers, fish contact equipment, animal
health equipment, and sanitary facilities shall be documented and implemented. Consideration shall be given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned; and
iv.
Who is responsible for the cleaning, and
v.
Who is responsible for the evaluation of the cleaning?
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Module 6: Good Aquaculture Practices
for Farming of Fish
6.2.9.2 A verification schedule shall be prepared indicating the frequency of verifying the effectiveness the
cleaning of vessels, containers, fish contact equipment, animal health equipment, and sanitary facilities, and
indicating who is responsible for completing verification activities.
6.2.9.3 The effectiveness of cleaning and sanitation programs shall be regularly reviewed and adapted as needed
based on environmental factors or disease risk.
6.2.9.4
A record of cleaning and sanitation activities shall be maintained.
6.3
Personal Hygiene and Welfare
6.3.1
Personnel Practices
6.3.1.1 Personnel engaged in the handling of living stock, wild catch and feedstuffs shall observe appropriate
personal practices. Corrective actions shall be implemented for personnel who violate food safety practices.
6.3.1.2 Personnel suffering from, or are carriers of, an infectious disease which can be carried with food as a
vehicle shall not engage in handling of living stock, wild catch and feedstuffs
6.3.1.3 A medical screening procedure shall be in place for all employees, and will also be applicable to all visitors
and contractors.
6.3.1.4 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing of product.
Minor cuts or abrasions on exposed parts of the body shall be covered with a suitable waterproof dressing.
6.3.1.5 A written policy shall be in place that specifies the procedures for handling living stock, wild catch, feed
and product contact surfaces.
6.3.1.6 Smoking, chewing, eating, drinking (except for water), spitting is not permitted in any product or feed
handling areas.
6.3.2
Sanitary Facilities and Hand Washing
6.3.2.1 Toilet facilities shall be provided and designed, constructed and located in a manner that minimizes the
potential risk for product contamination.
i.
Toilets shall cater for the maximum number of employees and be constructed so that they can be
easily cleaned and maintained.
ii.
Hand wash basins with clean water, hand soap, disposable towels or effective hand drying device,
waste bins and a tank that captures used hand wash water for disposal shall be provided inside or
adjacent to toilet facilities;
iii.
Signage in appropriate languages shall be provided adjacent to hand wash basins advising people to
wash their hands after each toilet visit.
iv.
Racks for protective clothing used by employees shall be provided;
v.
Toilets shall be located so as to provide easy access for workers;
vi.
Toilet and wash stations shall be maintained in a clean and sanitary condition
6.3.2.2 Personnel shall have clean hands and hands shall be washed by all personnel:
i.
6.3.3
Before handling living stock, wild catch or feed;
ii.
After handling living stock, wild catch or feed
iii.
After each visit to a toilet;
iv.
After using a handkerchief;
v.
After handling dirty or contaminated material; and
vi.
After smoking, eating or drinking.
Protective Clothing
6.3.3.1 Protective clothing shall be effectively maintained, stored, laundered and worn so as to protect product
from risk of contamination.
6.3.3.2 Where applicable, clothing including footwear shall be effectively maintained, cleaned and sanitized, and
worn so as to protect product from risk of contamination.
6.3.3.3 If rubber or disposable gloves are used, the operation shall have a glove use policy and personnel shall
adhere to the hand washing practices outlined above.
6.3.4
Jewelry and Personal Effects
6.3.4.1 Jewelry and other loose objects that pose a threat to the safety of living stock shall not be worn or taken
onto any product handling or feed storage operations.
6.3.5
Visitors
6.3.5.1 All visitors (including management and maintenance employees) shall be required to remove jewelry and
other loose objects and wear suitable protective clothing.
6.3.5.2 Visitors exhibiting visible signs of illness shall be prevented from entering any living stock, wild catch or
feed handling areas.
6.3.5.3 Visitors must follow all personnel practices as designated by company for employees within aquaculture
farms and or wild catch landing, storage and or handling areas.
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6.3.6
Module 6: Good Aquaculture Practices
for Farming of Fish
Amenities
6.3.6.1 Provision shall be made to store employee personal belongings away from living stock, wild catch or feed
handling areas.
6.3.6.2 On-board accommodation for vessel employees shall meet regulatory requirements (where applicable) and
shall be clean and dry.
6.3.6.3 Areas for meal breaks shall be designated and located away from living stock, wild catch or feed handling
areas.
6.3.6.4 Potable drinking water shall be available to all employees.
6.3.7
First Aid
6.3.7.1 First aid facilities shall be available and maintained to treat minor injuries and suitable arrangements shall
be provided in circumstances when a patient requires more specialized care.
6.3.7.2 First aid kits shall be kept in a sanitary and usable condition.
6.4
Aquaculture and Fish Handling Practices
6.4.1
Product Handling Practices
6.4.1.1 Appropriate personnel practices shall be employed by employees working in feed handling, living stock or
wild catch areas which include:
i.
Aprons and gloves shall be kept clean;
ii.
Aprons and gloves shall not be left on product, work surfaces, equipment or packaging material but
hung on apron and glove racks provided;
iii.
All product and packaging material shall be kept off the ground and the floor of the vessel , holding
area or transport vehicle;
iv.
Waste shall be contained in the bins identified for this purpose. Waste shall not come in contact
with product and be removed on a regular basis and not left to accumulate.
6.4.1.2 Measures shall be implemented to prevent cross-contamination of living or harvested product from feed,
chemicals, oils and lubricants, and /or personnel.
6.4.2
Aquaculture Practices
6.4.2.1 The producer shall apply good husbandry practices for the living stock under their care and shall ensure
that the basic needs of the species under their control are maintained.
6.4.2.2 Employees responsible for the care and management of living stock shall be trained and competent in
aquaculture practices. They shall be able to recognize the early signs of distress and disease and ensure stress to
living stock is minimized.
6.4.2.3 A written procedure regarding the handling of living stock shall be implemented and maintained. The
policy shall assure that employees handling living stock ensure that:
i.
Living stock has an adequate source of clean feed and uncontaminated water at all times;
ii.
Measures to inspect for physical hazards and procedures to remove physical hazards are in place;
iii.
Diseased or medicated stock is segregated from healthy living stock;
iv.
Personnel dealing with or treating diseased stock do not come into contact with healthy stock
6.4.2.4 Materials and equipment that comes in contact with living stock shall be clean and in good repair.
6.5
Water Management
6.5.1
Water for Aquaculture
6.5.1.1 Water for production of living stock shall be drawn from a known clean source or treated to make it
suitable for use.
6.5.1.2 Water for aquaculture shall be sourced from a location and in a manner that is compliant with prevailing
regulations.
6.5.1.3 The producer shall conduct an analysis of the hazards to the water supply from source through to
application, establish acceptance criteria for the monitoring of water and validate and verify the integrity of the
water used to ensure it is fit for the purpose.
6.5.1.4 Where water for production of living stock is stored in tanks, the producer shall ensure that the tanks are
not a source of contamination.
6.5.1.5 Waste System intended to convey human or animal waste shall be separated from conveyances utilized to
deliver water for the production of living stock, cleaning of equipment, or ice production.
6.5.2
Water Treatment
6.5.2.1 In circumstances where water for production of living stock is treated to render it acceptable, the water,
after treatment shall conform to the microbiological standards as outlined in element 6.5.3.
6.5.3
Water Management Plan
6.5.3.1 Water used for production of living stock, mixing feeds, cleaning feed and veterinary equipment, and
production of ice shall comply with potable water microbiological and chemical standards in the country of
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Module 6: Good Aquaculture Practices
for Farming of Fish
production. Where necessary, water used for aquaculture shall also be tested for heavy metals and polychlorinated
biphenyls (PCBs).
The water management plan shall include the following:
i.
Preventive controls;
ii.
Monitoring and verification procedures
iii.
Corrective actions
iv.
Documentation
6.5.3.2 Water and ice testing shall be part of the water management plan, as directed by the water risk
assessment and current industry standards or regulations for the commodity being produced. Water analysis shall
be undertaken by an approved laboratory accredited to ISO 17025 or equivalent.
6.5.3.3 Water and ice quality shall be monitored to verify it complies with the established water microbiological
and chemical standard or criteria established. A verification schedule shall be prepared indicating the location and
frequency of monitoring, which shall be decided by the hazard analysis, best practices within country of production,
or applicable legislation.
6.5.4
Corrective Actions
6.5.4.1 When monitoring shows that water for the production of living stock (or other uses identified under
6.5.3.1) does not meet established criteria or standard, the producer shall have a corrective action plan developed
which may include additional treatment for water, additional sources for water, livestock identification and
disposition or other alternative actions to adequately control the identified hazards.
6.5.5
Water/Ice used In Cleaning, Storage, and Transport
6.5.5.1 Standard Operating Procedures (SOPs) shall be developed for all uses of water during wild catch, cleaning,
and ice production. The SOPs shall address:
d)
i.
The microbial quality of water or ice that directly contacts the product, is used on product contact
surfaces.
ii.
The treatment of re-circulated water, if used.
The condition and maintenance of water-delivery system.
iv.
The control of wash water temperature
6.5.5.2 A Standard Operating Procedure that includes water-change schedules shall be developed for all uses of
water during harvesting.
6.6
Storage and Transport
6.6.1
Storage of Harvested Stock, Feed and Veterinary Medicines
6.6.1.1 Harvested stock shall be housed and transported under conditions that minimize the risk of microbiological
or chemical contamination or physical damage
6.6.1.2 The producer shall implement measures to prevent cross-contamination of living stock, wild catch, or
feedstock from chemicals, cleaning agents, oils and grease, other chemicals, waste materials, or personnel.
6.6.1.3 Feed shall be stored securely in clean, dry silos or containers and handled separately from waste
materials, animal medication, and hazardous chemicals.
6.6.1.4 Feed sourced from different species, growers or manufacturers shall be stored separately by using
separate silos or storage areas.
6.6.1.5 Aquaculture feed shall be checked regularly for cleanliness, temperature, suitability, and freedom from
molds and fungus. A record shall be maintained of feed checks.
6.6.1.6 Veterinary vaccines and medications shall be stored in secure, lockable storage, and in accordance with
regulatory requirements or, in the absence of regulatory requirements, manufacturer’s instructions.
6.6.2
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products
6.6.2.1 Hazardous chemicals, toxic substances, and petroleum products shall be specifically identified and stored
so as not to present a hazard to employees, product, product handling equipment or areas in which harvested
product is handled, stored or transported.
6.6.2.2 Product contact chemicals such as pesticides and herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in their original containers.
6.6.2.3 Chemical storage rooms or sheds shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be ventilated to the exterior;
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of chemicals;
v.
Have instructions on the safe handling of hazardous chemicals readily accessible to employees;
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage
facility;
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Module 6: Good Aquaculture Practices
for Farming of Fish
vii. Have suitable first aid equipment and protective clothing available in the storage area;
viii. Have emergency shower and/or wash facilities available in the event of an accidental spill; and
ix.
In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
x.
Be equipped with spillage kits and cleaning equipment.
6.6.2.4 Petroleum fuels, oils, grease and other lubricants shall be stored separate from other storage areas.
6.6.2.5 The storage of hazardous chemicals, toxic substances and petroleum products in areas (separate lockable
or otherwise contained) inside product holding areas is not acceptable.
6.6.3
Transport
6.6.3.1 The practices applied during loading, transport and unloading of harvested stock shall be documented and
implemented.
6.6.3.2 Employees involved in loading, transport and unloading of harvested stock shall be appropriately trained.
6.7
Purchase and Use of Medications, Aquaculture Feeds, and Aquaculture
Chemicals
6.7.1
Purchasing Medications
6.7.1.1 Vaccines and medications shall be purchased from an approved supplier in accordance with applicable
legislation, and be correctly labeled by the manufacturer.
6.7.1.2 No medications shall be purchased or used with the purpose of promoting growth.
6.7.1.3 An inventory of all aquaculture medications purchased and used shall be maintained, including in-feed
medications. The producer shall provide proof of purchase for all medications included in the inventory and used
within the facility.
6.7.2
Application of Aquaculture Medicines
6.7.2.1 A plan indicating the use of a medication for a target disease shall be prepared and implemented. All
vaccines and medicines must be used in accordance to label instructions, including withholding periods.
6.7.2.2 Off label use of medications shall be approved by a registered veterinarian.
6.7.2.3 The person making decisions on administering a vaccination medication shall:
i.
Demonstrate knowledge of, and access to, information regarding medications and the maximum
residue levels allowable in destination markets;
ii.
Demonstrate competence and knowledge of the various methods of administering medications and
compliance with withholding periods; and
iii.
Maintain a current medication register and keep records of all medication purchased and used.
6.7.2.4 Where veterinary medication is required to be dispensed in feed, feed shall be separately identified and
stored.
6.7.2.5 Where veterinary medication is required to be dispensed in water, medicated water shall be separately
identified and stored.
6.7.2.6 The producer shall dispose of unused animal medications, expired medications, empty containers and
disposable instruments in accordance with regulatory requirements and ensure that they are not re-used; and are
isolated and securely stored while awaiting disposal.
6.7.2.7 Where some or all of the living stock is found to be infected with a notifiable disease, the producer shall
have a system in place to quarantine the affected stock and take appropriate action to treat or dispose of the
affected stock.
6.7.3
Feed Management Plan
6.7.3.1 Where the producer selects to purchase aquaculture feed, it shall be purchased from an approved supplier
in accordance with applicable legislation and an agreed specification. An inventory of all aquaculture feed
purchased and used shall be maintained.
6.7.3.2 The producer shall implement a feed management plan to maintain the safety and integrity of all
aquaculture feed, whether purchased, or produced on site. Aquaculture feed shall meet regulatory requirements
and be managed to minimize the potential for microbiological or chemical contamination.
The feed management plan shall include the following:
i.
Preventive controls;
ii.
Monitoring and verification procedures
iii.
Corrective actions
iv.
Documentation
Feed quality shall be tested to verify that it complies with the established microbiological and chemical standard or
criteria. Feed analysis shall be undertaken by an approved laboratory accredited to ISO 17025 or equivalent.
6.7.3.3 Where aquaculture feed is found to be contaminated or otherwise unsuitable for use, the producer shall
have a process in place to contain and remove the contaminated feed so as not to pose a food safety risk to living
or harvested stock, and to clean and sanitize contaminated silos and equipment.
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6.7.4
Module 6: Good Aquaculture Practices
for Farming of Fish
Purchase and Use of Chemicals
6.7.4.1 Chemicals shall be purchased from an approved supplier in accordance with applicable legislation. An
inventory of all chemicals purchased and used shall be maintained.
6.7.4.2
The producer shall dispose of chemical waste and empty containers in accordance with regulatory
requirements and ensure that:
i.
Empty chemical containers are not re-used;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection;
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
6.8
Stock Identification and Traceability
6.8.1
Living Stock Records
6.8.1.1 The aquaculture producer shall maintain a living stock record which includes current living stock on farm,
stock movement, stock transactions, and stock losses.
6.8.1.2 Records shall be maintained of living stock purchased and sold by the producer.
6.8.1.3 Records shall be maintained of living stock treated with approved veterinary medications and shall include
the application date and the withholding period for that medication.
6.8.2
Feed Identification and Traceability
6.8.2.1 All animal feed and feed additives shall be identified by a batch identification system and be traceable
back to the source, including name and address of the supplier and the batch number or manufacturer’s
identification mark.
6.8.2.2 The producer shall maintain records of the use of feed and feed additives.
6.8.3
Harvested Stock Records
6.8.3.1 Records shall be maintained of all harvested fishery products, including the delivery destination, vendor,
species, lot or batch number, and date of production.
6.9
Waste Disposal
6.9.1
Dry Waste Disposal
6.9.1.1 Waste materials shall be regularly removed from the farm, vessel, catch landing areas, fishery storage
areas surrounds so as not to pose a food safety risk to livestock and other farm products.
6.9.1.2 The responsibility and methods for the effective and efficient disposal of all solid waste including inedible
material and disused packaging, and liquid and unsanitary waste shall be documented and implemented.
6.9.1.3 Areas where solid waste materials are stored shall be kept clean.
6.9.1.4 Dead fish shall be stored outside production areas. Disposal companies shall not pass through the
production facilities to remove carcasses.
6.9.2
Liquid Waste
6.9.2.1 Waste water and slurry from ponds shall be disposed of legally and so as to avoid contamination of water
courses and neighboring properties.
6.9.2.2 Untreated waste water and slurry from sewage plants shall be contained so that it does not contaminate
farm ponds and water courses.
6.9.2.3 Liquid waste shall be stored in specially designed and constructed watertight containers, so as not to pose
a food safety risk to living stock and other farm products.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
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The SQF Code, Edition 7
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Module 7: Good Agricultural Practices for
Farming of Plant Products
Module 7: Food Safety Fundamentals – Good Agricultural Practices
for Farming of Plant Products (GFSI Bl)
This module covers the Good Agricultural Practices requirements for the growing and harvesting of plants, other
than grains and pulses, for food.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 3:
Growing and production of fresh produce
3A:
Fresh produce that will undergo further processing
3B:
Ready-to-eat (RTE) produce
7.1
Site Requirements
7.1.1
Property Location
7.1.1.1 The farm and facilities shall be such that adjacent and adjoining buildings, operations and land use do not
interfere with the safe and hygienic operations on the property.
7.1.1.2 A soil map shall be prepared and risk assessment conducted to evaluate and document the risk to crops
due to prior land use, adjacent land use, and other environmental factors including structures and equipment.
Consideration shall be given to the following:
i.
History of land use.
ii.
Topography.
iii.
Adjacent land use.
iv.
Other factors that may impact on the ability to supply safe product.
7.1.1.3 The analysis shall be re-evaluated in the event of any circumstance or change that may impact on the
production of safe product.
7.1.1.4 Where risks are identified, control measures shall be implemented to reduce the identified hazards to an
acceptable level.
7.2
Product Handling and Storage Areas and Equipment
7.2.1
Field and Storage Buildings
7.2.1.1 All buildings used to store equipment, field chemicals, field packing materials, or field product shall be
designed and constructed so as to permit compliance to good hygiene practices and avoid product contamination.
7.2.1.2 Buildings designated to store field product or field product packing materials shall be of durable
construction. Internal surfaces shall be smooth and impervious with a light colored finish and shall be kept clean.
7.2.1.3 Field product contact surfaces shall be constructed of materials that do not constitute a food safety risk.
7.2.2
Glasshouses, Hydroponics
7.2.2.1 Facilities that grow produce indoors shall be designed so that there is no food safety risk to the product.
7.2.2.2 A procedure for handling of glass or hard plastic breakages in glasshouses shall be documented and
implemented (refer also 7.8.2)
7.2.3
Chillers and Cold Storage
7.2.3.1 The producer shall provide confirmation of construction approvals and the effective operational
performance of any chilling and chill storage facility.
7.2.3.2 Floors shall be constructed of smooth, dense impact resistant material that is impervious to liquid and
easily cleaned. Floors shall be effectively graded, to allow the effective removal of all overflow or waste water
under normal conditions.
7.2.3.3 Wall, ceilings, doors, frames and hatches shall be of a solid construction.
smooth and impervious with a light colored finish.
Internal surfaces shall be
7.2.3.4 Lighting shall be shatter-proof or provided with protective covers.
7.2.3.5 Sufficient refrigeration and controlled atmosphere capacity shall be available to chill or store the maximum
anticipated throughput of product with allowance for periodic cleaning of storage rooms.
7.2.3.6 Discharge from defrost and condensate lines shall be controlled and discharged to the drainage system.
7.2.3.7 Chilling and cold storage facilities shall be fitted with temperature monitoring equipment or suitable
temperature monitoring device that is located so as to monitor the warmest part of the room and is fitted with a
temperature gauge that is easily readable and accessible.
7.2.3.8 Chill and cold storage loading dock areas shall be appropriately sealed, drained and graded.
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7.2.4
Module 7: Good Agricultural Practices for
Farming of Plant Products
Storage of Dry Ingredient, Packaging and Utensils
7.2.4.1 Silos used to store seed or food crops shall be constructed of approved materials and designed to remain
dry, clean and free from any dirt residues, so they remain fit for the purpose, in an acceptable condition, enable
safe fumigation practices and prevent the invasion of pests.
7.2.4.2 Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of harvesting
and packing utensils away from farm machinery and hazardous chemicals and toxic substances.
7.2.5
Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction and Storage
7.2.5.1 Product contact surfaces on conveyors, harvesting and processing rigs shall be designed and constructed
to allow for the efficient handling of product and those surfaces in direct contact with product shall be constructed of
materials that will not contribute a food or feed safety risk.
7.2.5.2 Food processing equipment including knives, totes, trays, conveyors, containers and other equipment shall
be constructed of materials that are non-toxic, smooth, impervious and easily cleaned.
7.2.5.3 Provision shall be made for the washing and storage of processing rigs, equipment, conveyors, totes, trays
containers and utensils.
7.2.5.4 Provision shall be made to store farm machinery separate from food conveyors, harvesting and processing
rigs.
7.2.6
Vehicles, Equipment and Utensils
7.2.6.1 Equipment, vehicles, tools, utensils and other items or materials used in farming operations that may
contact produce are identified and are in good repair, kept clean and sanitized, and stored in such a way as to
avoid contamination.
7.2.6.2 Water tanks shall be cleaned at a sufficient frequency so as not be a source of contamination.
7.2.6.3 A documented procedure regarding the inspection of food contact harvest containers and pallets shall be
implemented. The procedure shall include the type and construction of harvest containers and packing materials.
7.2.6.4 The use of harvest containers for non-harvest purposes will be clearly identified and not returned to use
for harvest.
7.2.6.5 Vehicles used for the transport of foodstuffs shall be fit for purpose and shall not be used to carry waste
materials, manure, chemicals or other hazardous substances that could cause feed contamination without thorough
cleaning and inspection.
7.2.6.6 Tractors, harvesters, field packing equipment and machinery driven over ground crops shall be fitted with
drip trays to prevent contamination of the crop by lubricants and oils.
7.2.7
Maintenance Protocol
7.2.7.1 The methods and responsibility for maintenance of equipment and buildings shall be planned, scheduled
and carried out in a manner that prevents any risk of contamination of product or equipment.
7.2.8
Calibration of Equipment
7.2.8.1 The methods and responsibility for the calibration and re-calibration of chemical application, measuring,
test and inspection equipment used for monitoring pre-requisite program and other process controls shall be
documented and implemented.
7.2.8.2 Equipment shall be calibrated against national or international reference standards and methods. In cases
where such standards are not available the producer shall indicate and provide evidence to support the calibration
reference method applied.
7.2.8.3 Calibration shall be undertaken to an established schedule, to recognized standards or to accuracy
appropriate to use.
7.2.8.4 Calibration records shall be maintained.
7.2.9
Pest and Vermin Management
7.2.9.1 The methods for controlling pest and vermin infestation on the site or facilities shall be documented and
implemented. The property, storage facilities, machinery and equipment shall be kept free of waste or
accumulated debris so as not to attract pests and vermin.
7.2.9.2 The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of the
pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the methods used to eliminate pests when found;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make employees aware of the bait control program and the measures to
take when they come into contact with a bait station; and
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ix.
Module 7: Good Agricultural Practices for
Farming of Plant Products
Outline the requirements for employee awareness and training in the use of pest and vermin control
chemicals and baits.
7.2.9.3 Records of pest inspections and pest applications shall be maintained.
7.2.10 Animal Control
7.2.10.1 The operation shall have a written risk assessment on animal activity in and around the production of
food or feed crops that has been implemented and monitored.
7.2.10.2 Measures shall be in place that excludes domestic and wild animals from growing fields, glasshouses,
pack houses and all storage areas.
7.2.11 Cleaning and Sanitation
7.2.11.1 The methods and responsibility for the cleaning of product contact surfaces, field processing equipment
and sanitary facilities shall be documented and implemented. Consideration shall be given to:
i. What is to be cleaned;
ii. How it is to be cleaned;
iii. When it is to be cleaned; and
iv. Who is responsible for the cleaning, and
v. Who is responsible for the evaluation of the cleaning?
7.2.11.2 A schedule shall be prepared indicating the frequency of verifying the effectiveness of the cleaning of
product contact surfaces, field processing equipment and sanitary facilities and indicating who is responsible for
completing verification activities.
7.2.11.3
A record of cleaning and sanitation activities shall be maintained.
7.3
Personal Hygiene and Welfare
7.3.1
Personnel Practices
7.3.1.1
Personnel engaged in the handling of product shall observe appropriate personal practices. Corrective
actions shall be implemented for personnel who violate food safety practices.
7.3.1.2
Personnel suffering from, or are carriers of, an infectious disease which can be carried with food as a
vehicle shall not engage in growing or product handling or field processing operation.
7.3.1.3
A medical screening procedure shall be in place for all employees, and will also be applicable to all
visitors and contractors.
7.3.1.4
Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing product.
Minor cuts or abrasions on exposed parts of the body shall be covered with a suitable waterproof dressing.
7.3.1.5
A written policy shall be in place that specifies the procedures for handling product or product contact
surfaces that have been in contact with blood or other bodily fluids.
7.3.1.6
Smoking, chewing, eating, drinking (except for water) or spitting is not permitted in any growing areas
including on field processing rigs and during harvesting and packing operations.
7.3.2
Sanitary Facilities and Hand Washing
7.3.2.1 Toilet facilities shall be provided and designed, constructed and located in a manner that minimizes the
potential risk for product contamination.
i.
Toilets shall cater for the maximum number of employees and be constructed so that they can be
easily cleaned and maintained.
ii.
Hand wash basins with clean water, hand soap, disposable towels or effective hand drying device,
waste bins and a tank that captures used hand wash water for disposal shall be provided inside or
adjacent to toilet facilities;
iii.
Signage in appropriate languages shall be provided adjacent to hand wash basins advising people to
wash their hands after each toilet visit.
iv.
Racks for protective clothing used by field packing employees shall be provided;
v.
Toilets shall be located so as to provide easy access on farms for field workers;
vi.
Toilet and wash stations shall be maintained in a clean and sanitary condition
7.3.2.2 Personnel shall have clean hands and hands shall be washed by all personnel:
i.
Before handling product;
ii.
After each visit to a toilet;
iii.
After using a handkerchief;
iv.
After handling dirty or contaminated material; and
v.
7.3.3
After smoking, eating or drinking.
Protective Clothing
7.3.3.1 Protective clothing shall be effectively maintained, stored, laundered and worn so as to protect product
from risk of contamination.
7.3.3.2 Where applicable, clothing, including footwear, shall be effectively maintained, cleaned and sanitized, and
worn so as to protect product from risk of contamination.
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The SQF Code, Edition 7
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Module 7: Good Agricultural Practices for
Farming of Plant Products
7.3.3.3 If rubber or disposable gloves are used, the operation shall have a glove use policy and personnel shall
adhere to the hand washing practices outlined above.
7.3.4
Jewelry and Personal Effects
7.3.4.1 Jewelry and other loose objects that pose a threat to the safety of the product shall not be worn or taken
onto any growing, product handling or storage operations.
7.3.5
Visitors
7.3.5.1 All visitors (including management and maintenance employees) shall be required to remove jewelry and
other loose objects and wear suitable protective clothing around product growing, harvesting, or storage areas.
7.3.5.2 Visitors exhibiting visible signs of illness shall be prevented from entering any growing or product handling
or field processing operation.
7.3.5.3 Visitors must follow all personnel practices as designated by company for employees within various areas
of fields, sheds, packing facilities or storage locations.
7.3.5.4 Unsupervised children shall not be permitted to enter any harvesting, packing, or food storage areas.
7.3.6
Amenities
7.3.6.1 Provision shall be made to store employee personal belongings away from crops, harvesting and field
processing and packing operations, and processing equipment.
7.3.6.2 Areas for meal breaks shall be designated and located away from a food contact/handling zones and
processing equipment.
7.3.6.3 Drinking water shall be available to all field employees.
7.3.7
First Aid
7.3.7.1 First aid facilities shall be available and maintained to treat minor injuries and suitable arrangements shall
be provided in circumstances when a patient requires more specialized care.
7.3.7.2 First aid kits shall be kept in a sanitary and usable condition.
7.4
Field Packaging and Handling Practices
7.4.1
Field Packing Personal Practices
7.4.1.1 Appropriate personnel practices shall be employed by field packing employees which include:
i.
Fingernail polish shall not be permitted where product is handled with bare hands;
ii.
Aprons and gloves shall be kept clean;
iii.
Aprons and gloves shall not be left on product, work surfaces, equipment or packaging material but
hung on apron and glove racks provided;
iv.
All product and packaging material shall be kept off the ground and the floor of the transport vehicle;
v.
Waste shall be contained in the bins identified for this purpose. Waste shall not come in contact with
produce and be removed on a regular basis and not left to accumulate.
7.4.1.2 A written policy regarding the handling and field packaging of produce, specific to the commodity, shall be
implemented and maintained. The policy shall assure that:
i.
Damaged or decayed produce is not harvested or culled;
ii.
Produce that contacts the ground shall not be harvested (unless that product typically contacts the
ground);
iii.
Measures to inspect for physical hazards and procedures to remove physical hazards are in place;
iv.
Cloths, towels, or other cleaning materials that pose a risk of cross-contamination shall not be used
to wipe produce.
7.4.1.3 Packaging materials shall be appropriate for their intended used and stored in a manner that prevents
contamination. A written policy shall be in place that identifies how packing materials are permitted in direct
contact with soil.
7.4.1.4 Materials that come in contact with the produce shall be clean and in good repair.
7.5
Water Management
7.5.1
Water System Description
7.5.1.1 A water description plan shall be prepared that describes the water sources and the production blocks they
serve, and shall include one or more of the following: maps, photographs, drawings, or other means to
communicate the location of the water sources, permanent fixtures and the flow of the water system.
7.5.1.2 Agricultural water shall be sourced from a location and in a manner that is compliant with prevailing
regulations.
7.5.1.3 Water System intended to convey untreated human or animal waste shall be separated from conveyances
utilized to deliver agricultural water.
7.5.2
Irrigation Water
7.5.2.1 Agricultural water shall be drawn from a known clean source or treated to make it suitable for use. The
producer shall conduct an analysis of the hazards to the irrigation water supply from source through to application,
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Module 7: Good Agricultural Practices for
Farming of Plant Products
establish acceptance criteria for the monitoring of water and validate and verify the integrity of the water used to
ensure it is fit for the purpose.
7.5.3
Treatment of Irrigation Water
7.5.3.1 In circumstances where irrigation water is treated to render it acceptable, the water, after treatment shall
conform to the microbiological standards as outlined in element 7.5.5.
7.5.4
Water System Risk Assessment
7.5.4.1 An initial risk assessment shall be performed and documented that takes into consideration the historical
testing results of the water source, the characteristics of the crop, the stage of the crop, and the method of
application.
7.5.5
Water Management Plan
7.5.5.1 Water used for washing and treating product, cleaning food contact surfaces and mixing sanitizer solutions
shall comply with potable water microbiological and chemical standards in the country of production. Separate
criteria will be established for irrigation water, frost control, humidifying, pesticide application, etc. as applicable,
based on the hazard analysis, best practices within country of production and any applicable legislation.
The water management plan shall include the following:
i.
Preventive controls;
ii.
Monitoring and verification procedures
iii.
Corrective actions
iv.
Documentation
Water testing shall be part of the water management plan, as directed by the water risk assessment and current
industry standards or regulations for the commodity being grown.
7.5.5.2 Water quality shall be monitored to verify it complies with the established water microbiological and
chemical standard or criteria established. A verification schedule shall be prepared indicating the location and
frequency of monitoring, which shall be decided by the hazard analysis, best practices within country of production,
or applicable legislation. Water analysis shall be undertaken by an approved laboratory accredited to ISO 17025 or
equivalent.
7.5.5.3 Water used for hydroponics culture shall be frequently changed and procedures shall be implemented that
minimizes microbial or chemical contamination. Delivery system shall be designed so they can be maintained and
cleaned.
7.5.6
Corrective Actions
7.5.6.1 When monitoring shows that water does not meet established criteria or standard, producer will have a
corrective action plan developed which could include additional treatment for water, additional sources for water,
product identification and disposition or other alternative actions to adequately control the identified hazards.
7.5.7
Ice
7.5.7.1 The producer shall verify that any ice used is made from water that meets the microbiological and quality
standards as specified in element 7.5.5.
7.5.8
Harvest Assessment Water/Ice
7.5.8.1 Standard Operating Procedures (SOPs) shall be developed for all uses of water during harvesting of food or
feed products. The SOPs shall address:
i.
ii.
iii.
iv.
The microbial quality of water or ice that directly contacts the harvested crop, is used on food contact
surfaces or used to deliver agricultural chemicals.
The treatment of re-circulated water, if used.
The condition and maintenance of water-delivery system.
The control of wash water temperature.
7.5.8.2 An SOP that includes water-change schedules shall be developed for all uses of water during harvesting.
7.6
Storage and Transport
7.6.1
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products
7.6.1.1 Hazardous chemicals, toxic substances, and petroleum products shall be stored so as not to present a
hazard to employees, product, product handling equipment or areas in which product is handled, stored or
transported.
7.6.1.2 Product contact chemicals such as pesticides and herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in their original containers.
7.6.1.3 Chemical storage sheds shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be ventilated to the exterior;
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of chemicals;
v.
Have instructions on the safe handling of hazardous chemicals readily accessible to employees;
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Module 7: Good Agricultural Practices for
Farming of Plant Products
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage
facility;
vii.
Have suitable first aid equipment and protective clothing available in the storage area;
viii.
Have emergency shower and/or wash facilities available in the event of an accidental spill; and
ix.
In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
x.
Be equipped with spillage kits and cleaning equipment.
7.6.1.4 Petroleum fuels, oils, grease and other lubricants shall be stored separate from other storage areas.
7.6.1.5 The storage of hazardous chemicals, toxic substances and petroleum products in areas (separate lockable
or otherwise contained) inside food handling areas, product and ingredient and packaging storage rooms is not
acceptable.
7.6.2
Transport
7.6.2.1
The practices applied during loading, transport and unloading of crops shall be documented,
implemented and designed to maintain appropriate storage conditions and product integrity.
7.6.2.2
Crops shall be transported under conditions suitable to maintain integrity and to prevent cross
contamination and spoilage.
7.6.2.3
7.6.3
Employees involved in loading, transport and unloading events shall be appropriately trained.
Transport from Field to Packhouse
7.6.3.1
A written procedure and checklist to verify cleanliness and functionality of shipping units shall be
implemented.
7.6.3.2
Loading and unloading procedures shall include provisions to minimize damage and prevent
contamination to produce.
7.7
Soil Management
7.7.1
Use of Fertilizers (Soil Amendments)
7.7.1.1 Inorganic (chemical) and organic (manure) soil amendments shall be isolated and stored separately so as
not to pose a food safety risk.
7.7.1.2 Provision shall be made for the storage of concentrated and diluted liquid soil amendments in bunded
tanks designed to retain at least 110% of total volume.
7.7.1.3 Soil amendments shall be stored separate from crop, field or irrigation water sources such that
contamination from run off is avoided either by locating of the soil amendment a suitable distance from the crop or
by the utilization of other physical barriers.
7.7.1.4 An inventory of all organic and inorganic soil amendment storage and use shall be maintained.
7.7.2
Soil Amendment
7.7.2.1 No raw untreated manure shall be used. Soil amendment treatment and application methods shall be
documented and implemented and designed to prevent contamination of product.
7.7.2.2 Soil amendment protocol shall outline the methods used to treat manure and other untreated organic
fertilizers ensuring:
i.
The treatment methods applied inactivate pathogens in organic soil amendments;
ii.
A hazard analysis of organic soil amendments treatment methods is conducted before use;
iii.
Treatment methods are validated and treatments of organic soil amendments are verified as being in
compliance with the method applied;
iv.
Records of the validation and verification of organic soil amendment treatments are maintained.
7.7.2.3 Soil amendment protocol shall outline the methods to ensure organic soil amendment applications are
timed to pose minimum risk to product safety and human health including:
7.7.3
i.
All applications of soil amendments are in accordance with national or local guidelines, best practices
and codes of Good Agricultural Practice;
ii.
Equipment used for soil amendment application is maintained in good condition and calibrated to
ensure accurate application;
iii.
Records of all equipment maintenance and calibration are maintained;
iv.
Signage complies with national and local codes of practice; and
v.
Sufficient data is recorded to provide a detailed record of soil amendment applications.
Purchasing Chemicals
7.7.3.1 Chemicals shall be purchased from an approved supplier in accordance with applicable legislation. An
inventory of all chemicals purchased and used shall be maintained.
7.7.4
Agricultural Chemicals
7.7.4.1 A crop protection action plan indicating the applications used for a target pest or disease and the threshold
levels that initiate application shall be prepared and implemented.
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Module 7: Good Agricultural Practices for
Farming of Plant Products
7.7.4.2 If product is intended for export, agricultural chemical use shall consider requirements in the intended
country of destination.
7.7.4.3
The person making decisions on chemical application shall:
i.
Demonstrate knowledge of, and access to, information regarding chemical applications and the
maximum residue limits allowable in destination markets;
ii.
Use only chemicals approved for cultivation of specific fruits and vegetables, and approved for use in
the intended market;
iii.
Demonstrate competence and knowledge of chemical application and crop withholding periods;
iv.
Ensure crop applications and application rates for target pests and diseases comply with label
recommendations;
v.
Demonstrate the timing between chemical application and harvest complies with the approved
harvest interval for the chemical applied.
vi.
Maintain a current chemical register and keep records of all chemicals use. Records of chemical use
shall include the date of application, the chemical used, the crop sprayed, the concentration, method
and frequency of application.
7.7.4.4 Only biological controls that are authorized for the cultivation of the specific fruit or vegetable shall be
used, and in accordance with label instructions.
7.7.4.5 The producer shall dispose of chemical waste and empty containers in accordance with regulatory
requirements and ensure that:
i.
Empty chemical containers are not re-used;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection;
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
7.8
Harvesting
7.8.1
Pre-harvest Assessment
7.8.1.1 A pre-harvest risk assessment procedure shall be in place that describes when the assessment is
performed and identifies those conditions that may be reasonably likely to result in physical, chemical, or biological
contamination.
7.8.1.2 Knives and cutting instruments used in harvesting operations shall be controlled, and kept clean and well
maintained.
7.8.1.3 A written policy regarding the storage of harvesting containers shall be implemented and maintained.
7.8.2
Foreign Matter and Glass Procedures
7.8.2.1 The methods used to prevent foreign matter and glass contamination of product shall be documented and
implemented.
7.8.2.2 Containers, equipment and other utensils made of glass, porcelain, ceramics, brittle plastic or other like
material shall not be permitted where exposed product is handled unless an effective foreign material and glass
protocol is documented and implemented.
7.8.2.3 Regular inspections shall be conducted to ensure food handling/contact zones areas are free of glass and
brittle plastic and employees are to be made aware of their responsibility to adhere to the organization’s Foreign
Matter and Glass Protocol.
7.8.2.4 Glass covered instrument dial covers shall be checked at the start and finish of each shift to ensure their
covers have not been damaged.
7.9
Waste Disposal
7.9.1
Dry, Liquid and Unsanitary Waste Disposal
7.9.1.1 Waste shall be regularly removed from the farm, field, packing facility and the surrounds so as not to pose
a food safety risk to finished product or growing, harvesting and packing operations.
7.9.1.2 The responsibility and methods for the effective and efficient disposal of all solid waste including inedible
material and disused packaging, and liquid and unsanitary waste shall be documented and implemented.
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The SQF Code, Edition 7
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Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
Module 8: Food Safety Fundamentals – Good Agricultural Practices
for Farming of Grains and Pulses (GFSI Bll)
This module covers the Good Agricultural Practices requirements for the growing and harvesting of grains and
pulses for food.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 5:
Extensive broad acre agriculture operations
8.1
Site Requirements
8.1.1
Property Location
8.1.1.1 The farm and facilities shall be such that adjacent and adjoining buildings, operations and land use do not
interfere with the safe and hygienic operations on the property.
8.1.1.2 A soil map shall be prepared and risk assessment conducted to evaluate and document the risk to crops
due to prior land use, adjacent land use, and other environmental factors including structures and equipment.
Consideration shall be given to the following:
i.
History of land use.
ii.
Topography.
iii.
Adjacent land use.
iv.
Other factors that may impact on the ability to supply safe product.
8.1.1.3 The analysis shall be re-evaluated in the event of any circumstance or change that may impact on the
production of safe product.
8.1.1.4 Where risks are identified, control measures shall be implemented to reduce the identified hazards to an
acceptable level.
8.2
Product Handling and Storage Areas and Equipment
8.2.1
Field and Storage Buildings
8.2.1.1 All buildings used to store equipment, field chemicals, field packing materials, or field product shall be
designed and constructed so as to permit compliance to good hygiene practices and avoid product contamination.
8.2.1.2 Buildings designated to store field product or field product packing materials shall be of durable
construction. Internal surfaces shall be smooth and impervious with a light colored finish and shall be kept clean.
8.2.1.3 Field product contact surfaces shall be constructed of materials that do not constitute a food safety risk.
8.2.2
Storage of dry ingredient, packaging and utensils
8.2.2.1 Silos used to store seed or food crops shall be constructed of approved materials and designed to remain
dry, clean and free from any dirt residues, so they remain fit for the purpose, in an acceptable condition, enable
safe fumigation practices and prevent the invasion of pests.
8.2.2.2 Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of harvesting
and packing utensils away from farm machinery and hazardous chemicals and toxic substances.
8.2.3
Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction and Storage
8.2.3.1 Product contact surfaces on conveyors, harvesting and processing rigs shall be designed and constructed
to allow for the efficient handling of product and those surfaces in direct contact with product shall be constructed of
materials that will not contribute a food or feed safety risk.
8.2.3.2 Processing equipment including knives, totes, trays, conveyors, containers and other equipment shall be
constructed of materials that are non-toxic, smooth, impervious and easily cleaned.
8.2.3.3 Provision shall be made for the washing and storage of processing rigs, equipment, conveyors, totes, trays
containers and utensils.
8.2.3.4 Provision shall be made to store farm machinery separate from food conveyors, harvesting and processing
rigs.
8.2.4
Vehicles, Equipment and Utensils
8.2.4.1 Equipment, vehicles, tools, utensils and other items or materials used in farming operations that may
contact produce are identified and are in good repair, kept clean and sanitized, and stored in such a way as to
avoid contamination.
8.2.4.2 Water tanks shall be cleaned at a sufficient frequency so as not be a source of contamination.
8.2.4.3 A documented procedure regarding the inspection of food contact harvest containers and pallets shall be
implemented. The procedure shall include the type and construction of harvest containers and packing materials.
8.2.4.4 The use of harvest containers for non-harvest purposes will be clearly identified and not returned to use
for harvest.
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Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
8.2.4.5 Vehicles used for the transport of seed or foodstuffs shall be fit for purpose and shall not be used to carry
waste materials, manure, chemicals or other hazardous substances that could cause feed or food contamination
without thorough cleaning and inspection.
8.2.4.6 Tractors, harvesters, field packing equipment and machinery driven over ground crops shall be fitted with
drip trays to prevent contamination of the crop by lubricants and oils.
8.2.5
Maintenance Protocol
8.2.5.1 The methods and responsibility for maintenance of equipment and buildings shall be planned, scheduled
and carried out in a manner that prevents any risk of contamination of product or equipment.
8.2.6
Calibration of Equipment
8.2.6.1 The methods and responsibility for the calibration and re-calibration of chemical application, measuring,
test and inspection equipment used for monitoring pre-requisite program and other process controls shall be
documented and implemented.
8.2.6.2 Equipment shall be calibrated against national or international reference standards and methods. In cases
where such standards are not available the producer shall indicate and provide evidence to support the calibration
reference method applied.
8.2.6.3 Calibration shall be undertaken to an established schedule, to recognized standards or to accuracy
appropriate to use.
8.2.6.4 Calibration records shall be maintained.
8.2.7
Pest and Vermin Management
8.2.7.1 The methods for controlling pest and vermin infestation on the site or facilities shall be documented and
implemented. The property, storage facilities, machinery and equipment shall be kept free of waste or
accumulated debris so as not to attract pests and vermin.
8.2.7.2 The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of
the pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the methods used to eliminate pests when found;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii.
List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii.
Outline the methods used to make employees aware of the bait control program and the measures to
take when they come in contact with a bait station; and
ix.
Outline the requirements for employees’ awareness and training in the use of pest and vermin
control chemicals and baits.
8.2.7.3 Records of pest inspections and pest applications shall be maintained.
8.2.8
Animal Control
8.2.8.1 The operation shall have a written risk assessment on animal activity in and around the production of food
or feed crops that has been implemented and monitored.
8.2.8.2 Measures shall be in place that excludes domestic and wild animals from crop fields, and all storage areas.
8.2.9
Cleaning and Sanitation
8.2.9.1 The methods and responsibility for the cleaning of product contact surfaces, field processing equipment
and sanitary facilities shall be documented and implemented. Consideration shall be given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned; and
iv.
Who is responsible for the cleaning, and
v.
Who is responsible for the evaluation of the cleaning.
8.2.9.2
A schedule shall be prepared indicating the frequency of verifying the effectiveness the cleaning of
product contact surfaces, field processing equipment and sanitary facilities and indicating who is responsible for
completing verification activities.
8.2.9.3
A record of cleaning and sanitation activities shall be maintained.
8.3
Personal Hygiene and Welfare
8.3.1
Personnel Practices
8.3.1.1
Personnel engaged in the handling of product shall observe appropriate personal practices. Corrective
actions shall be implemented for personnel who violate food safety practices.
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Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
8.3.1.2
Personnel suffering from, or are carriers of, an infectious disease which can be transmitted by food shall
not engage in growing or product handling or field processing operation.
8.3.1.3
A medical screening procedure shall be in place for all employees, and will also be applicable to all
visitors and contractors.
8.3.1.4 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing product.
Minor cuts or abrasions on exposed parts of the body shall be covered with a suitable waterproof dressing.
8.3.1.5 A written policy shall be in place that specifies the procedures for handling product or product contact
surfaces that have been in contact with blood or other bodily fluids.
8.3.1.6 Smoking, chewing, eating, drinking (except for water), spitting is not permitted in any growing areas
including on field processing rigs and during harvesting and packing operations.
8.3.2
Sanitary Facilities and Hand Washing
8.3.2.1 Toilet facilities shall be provided and designed, constructed and located in a manner that minimizes the
potential risk for product contamination.
i.
Toilets shall cater for the maximum number of employees and be constructed so that they can be
easily cleaned and maintained.
ii.
Hand wash basins with clean water, hand soap, disposable towels or effective hand drying device,
waste bins and a tank that captures used hand wash water for disposal shall be provided inside or
adjacent to toilet facilities;
iii.
Signage in appropriate languages shall be provided adjacent to hand wash basins advising people to
wash their hands after each toilet visit.
iv.
Racks for protective clothing used by field packing employees shall be provided;
v.
Toilets shall be located so as to provide easy access on farms for field workers;
vi.
Toilet and wash stations shall be maintained in a clean and sanitary condition
8.3.2.2 Personnel shall have clean hands and hands shall be washed by all personnel:
i.
Before handling product;
ii.
After each visit to a toilet;
iii.
After using a handkerchief;
iv.
After handling dirty or contaminated material; and
v.
8.3.3
After smoking, eating or drinking.
Protective Clothing
8.3.3.1
Protective clothing shall be effectively, maintained, stored, laundered and worn so as to protect product
from risk of contamination.
8.3.3.2
Where applicable, clothing, including footwear, shall be effectively maintained, cleaned and sanitized,
and worn so as to protect product from risk of contamination.
8.3.3.3
If rubber or disposable gloves are used, the operation shall have a glove use policy and personnel shall
adhere to the hand washing practices outlined above.
8.3.4
Jewelry and Personal Effects
8.3.4.1 Jewelry and other loose objects that pose a threat to the safety of the product shall not be worn or taken
onto any growing, product handling or storage operations.
8.3.5
Visitors
8.3.5.1
All visitors (including management and maintenance employees) shall be required to remove jewelry and
other loose objects and wear suitable protective clothing around product growing, harvesting, or storage areas.
8.3.5.2
Visitors exhibiting visible signs of illness shall be prevented from entering any growing or product
handling or field processing operation.
8.3.5.3
Visitors must follow all personnel practices as designated by company for employees within various areas
of fields, sheds, packing facilities or storage locations.
8.3.5.4
8.3.6
Unsupervised children shall not be permitted to enter any harvesting, packing, or food storage areas.
Amenities
8.3.6.1
Provision shall be made to store employee personal belongings away from crops, harvesting and field
processing and packing operations, and processing equipment.
8.3.6.2
Areas for meal breaks shall be designated and located away from a food contact/handling zones and
processing equipment
8.3.6.3
8.3.7
Drinking water shall be available to all field employees
First Aid
8.3.7.1
First aid facilities shall be available and maintained to treat minor injuries and suitable arrangements
shall be provided in circumstances when a patient requires more specialized care.
8.3.7.2 First aid kits shall be kept in a sanitary and usable condition.
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8.4
Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
Field Packaging and Handling Practices
8.4.1.1 Appropriate personnel practices shall be employed by field packing employees which include:
i.
Aprons and gloves shall be kept clean;
ii.
Aprons and gloves shall not be left on product, work surfaces, equipment or packaging material but
hung on apron and glove racks provided;
iii.
All product and packaging material shall be kept off the ground and the floor of the transport vehicle;
iv.
Waste shall be contained in the bins identified for this purpose. Waste shall not come in contact with
produce and be removed on a regular basis and not left to accumulate.
8.4.1.2 A written policy regarding the handling and field packaging of produce, specific to the commodity, shall be
implemented and maintained. The policy shall assure that:
i.
Damaged or decayed produce is not harvested or culled;
ii.
Measures to inspect for physical hazards and procedures to remove physical hazards are in place;
iii.
Cloths, towels, or other cleaning materials that pose a risk of cross-contamination shall not be used
to wipe produce.
8.4.1.3 Packaging materials shall be appropriate for their intended used and stored in a manner that prevents
contamination. A written policy shall be in place that identifies how packing materials are permitted in direct
contact with soil.
8.4.1.4 Materials that come in contact with the produce shall be clean and in good repair
8.5
Water Management
8.5.1
Water System Description
8.5.1.1
A water description plan shall be prepared that describes the water sources and the production blocks
they serve, and shall include one or more of the following: maps, photographs, drawings, or other means to
communicate the location of the water sources, permanent fixtures and the flow of the water system.
8.5.1.2
Agricultural water shall be sourced from a location and in a manner that is compliant with prevailing
regulations.
8.5.1.3
Waste System intended to convey untreated human or animal waste shall be separated from
conveyances utilized to deliver agricultural water.
8.5.2
Irrigation Water
8.5.2.1 Agricultural water shall be drawn from a known clean source or treated to make it suitable for use. The
producer shall conduct an analysis of the hazards to the irrigation water supply from source through to application,
establish acceptance criteria for the monitoring of water and validate and verify the integrity of the water used to
ensure it is fit for the purpose.
8.5.3
Treatment of Irrigation Water
8.5.3.1 In circumstances where irrigation water is treated to render it acceptable, the water, after treatment shall
conform to the microbiological standards as outlined in element 8.5.5.
8.5.4
Water System Risk Assessment
8.5.4.1 An initial risk assessment shall be performed and documented that takes into consideration the historical
testing results of the water source, the characteristics of the crop, the stage of the crop, and the method of
application.
8.5.5
Water Management Plan
8.5.5.1 Water used for washing and treating product, cleaning food contact surfaces and mixing sanitizer solutions
shall comply with potable water microbiological and chemical standards in the country of production. Separate
criteria will be established for irrigation water, frost control, humidifying, pesticide application, etc. as applicable,
based on the hazard analysis, best practices within country of production and any applicable legislation.
The water management plan shall include the following:
i.
Preventive controls
ii.
Monitoring and verification procedures
iii.
Corrective actions
iv.
Documentation
Water testing shall be part of the water management plan, as directed by the water risk assessment and current
industry standards or regulations for the commodity being grown.
8.5.5.2 Water quality shall be monitored to verify it complies with the established water microbiological and
chemical standard or criteria established. A verification schedule shall be prepared indicating the location and
frequency of monitoring, which shall be decided by the hazard analysis, best practices within country of production,
or applicable legislation. Water analysis shall be undertaken by an approved laboratory accredited to ISO 17025 or
equivalent.
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8.5.6
Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
Corrective Actions
8.5.6.1 When monitoring shows that water does not meet established criteria or standard, the producer will have
a corrective action plan developed which could include additional treatment for water, additional sources for water,
product identification and disposition or other alternative actions to adequately control the identified hazards.
8.6
Storage and Transport
8.6.1
Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products
8.6.1.1 Hazardous chemicals, toxic substances, and petroleum products shall be stored so as not to present a
hazard to employees, product, product handling equipment or areas in which product is handled, stored or
transported.
8.6.1.2 Product contact chemicals such as pesticides and herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in their original containers.
8.6.1.3 Chemical storage sheds shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be ventilated to the exterior;
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of chemicals;
v.
Have instructions on the safe handling of hazardous chemicals readily accessible to employees;
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage
facility;
vii. Have suitable first aid equipment and protective clothing available in the storage area;
viii. Have emergency shower and/or wash facilities available in the event of an accidental spill; and
ix.
In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
x.
Be equipped with spillage kits and cleaning equipment.
8.6.1.4 Petroleum fuels, oils, grease and other lubricants shall be stored separate from other storage areas.
8.6.1.5 The storage of hazardous chemicals, toxic substances and petroleum products in areas (separate lockable
or otherwise contained) inside food handling areas, product and ingredient and packaging storage rooms is not
acceptable.
8.6.2
Transport
8.6.2.1 The practices applied during loading, transport and unloading of crops shall be documented, implemented
and designed to maintain appropriate storage conditions and product integrity.
8.5.2.2 Crop shall be transported under conditions suitable to maintain integrity and to prevent cross
contamination and spoilage.
8.6.2.3 Employees involved in loading, transport and unloading events shall be appropriately trained.
8.6.3
Transport from Field
8.6.3.1 A written procedure and checklist to verify cleanliness and functionality of transport units shall be
implemented.
8.6.3.2 Loading and unloading procedures shall include provisions to minimize damage and prevent contamination
to produce.
8.7
Soil Management
8.7.1
Use of Fertilizers (Soil Amendments)
8.7.1.1
Inorganic (chemical) and organic (manure) soil amendments shall be isolated and stored separately so
as not to pose a food safety risk.
8.7.1.2
Provision shall be made for the storage of concentrated and diluted liquid soil amendments in bunded
tanks designed to retain at least 110% of total volume.
8.7.1.3
Soil amendments shall be stored separate from crop, field or irrigation water sources such that
contamination from run off is avoided either by locating of the soil amendment a suitable distance from the crop or
by the utilization of other physical barriers.
8.7.1.4
8.7.2
An inventory of all organic and inorganic soil amendment storage and use shall be maintained.
Soil Amendment
8.7.2.1
No raw untreated manure shall be used. Soil amendment treatment and application methods shall be
documented and implemented and designed to prevent contamination of product.
8.7.2.2
Soil amendment protocol shall outline the methods used to treat manure and other untreated organic
fertilizers ensuring:
i.
The treatment methods applied inactivate pathogens in organic soil amendments;
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Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
ii.
A hazard analysis of organic soil amendments treatment methods is conducted before use;
iii.
Treatment methods are validated and treatments of organic soil amendments are verified as being in
compliance with the method applied;
iv.
Records of the validation and verification of organic soil amendment treatments are maintained.
8.7.2.3 Soil amendment protocol shall outline the methods to ensure organic soil amendment applications are
timed to pose minimum risk to product safety and human health including:
8.7.3
i.
All applications of soil amendments are in accordance with national or local guidelines, best practices
and codes of Good Agricultural Practice;
ii.
Equipment used for soil amendment application is maintained in good condition and calibrated to
ensure accurate application;
iii.
Records of all equipment maintenance and calibration are maintained;
iv.
Signage complies with national and local codes of practice; and
v.
Sufficient data is recorded to provide a detailed record of soil amendment applications.
Purchasing Chemicals
8.7.3.1 Chemicals shall be purchased from an approved supplier in accordance with applicable legislation. An
inventory of all chemicals purchased and used shall be maintained.
8.7.4
Agricultural Chemicals
8.7.4.1 A crop protection action plan indicating the applications used for a target pest or disease and the threshold
levels that initiate application shall be prepared and implemented.
8.7.4.2 If product is intended for export, agricultural chemical use shall consider requirements in the intended
country of destination.
8.7.4.3 The person making decisions on chemical application shall:
i.
Demonstrate knowledge of, and access to, information regarding chemical applications and the
maximum residue limits allowable in destination markets;
ii.
Use only chemicals approved for cultivation of specific grains or pulses, and approved for use in the
intended market;
iii.
Demonstrate competence and knowledge of chemical application and crop withholding periods;
iv.
Ensure crop applications and application rates for target pests and diseases comply with label
recommendations;
v.
Demonstrate the timing between chemical application and harvest complies with the approved
harvest interval for the chemical applied.
vi.
Maintain a current chemical register and keep records of all chemicals use. Maintain a current
chemical register and keep records of all chemicals use. Records of chemical use shall include the
date of application, the chemical used, the crop sprayed, the concentration, method and frequency of
application.
8.7.4.4
Only biological controls that are authorized for the cultivation of the specific grains or pulses shall be
used, and in accordance with label instructions.
8.7.4.5 The producer shall dispose of chemical waste and empty containers in accordance with regulatory
requirements and ensure that:
i.
Empty chemical containers are not re-used;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection;
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
8.8
Harvesting
8.8.1
Pre-harvest Assessment
8.8.1.1
A pre-harvest risk assessment procedure shall be in place that describes when the assessments
performed and identifies those conditions that may be reasonably likely to result in physical, chemical, or biological
contamination.
8.8.1.2 Knives and cutting instruments used in harvesting operations shall be controlled, and kept clean and well
maintained.
8.8.1.2
8.8.2
A written policy regarding the storage of harvesting containers shall be implemented and maintained
Foreign Matter and Glass Procedures
8.8.2.1
The methods used to prevent foreign matter and glass contamination of product shall be documented
and implemented.
8.8.2.2
Containers, equipment and other utensils made of glass, porcelain, ceramics, brittle plastic or other like
material shall not be permitted where exposed product is handled unless an effective foreign material and glass
protocol is documented and implemented.
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Module 8: Good Agricultural Practices for
Farming of Grains and Pulses
8.8.2.3
Regular inspections shall be conducted to ensure food handling/contact zones areas are free of glass and
brittle plastic and employees is to be made aware of their responsibility to adhere to the organization’s Foreign
Matter and Glass Protocol.
8.8.2.4
Glass covered instrument dial covers shall be checked at the start and finish of each shift to ensure their
covers have not been damaged.
8.9
Waste Disposal
8.9.1
Dry, Liquid and Unsanitary Waste Disposal
8.9.1.1 Waste shall be regularly removed from the farm, field, packing facility and the surrounds so as not to pose
a food safety risk to finished product or growing, harvesting and packing operations.
8.9.1.2 The responsibility and methods for the effective and efficient disposal of all solid waste including inedible
material and disused packaging, and liquid and unsanitary waste shall be documented and implemented.
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Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
Module 9: Food Safety Fundamentals – Good Manufacturing Practices
for Pre-processing of Animal Products (GFSI C)
This module covers the Good Manufacturing Practices requirements for the pre-process handling of animal products.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 7:
Slaughterhouse, boning, and butchery operations
7A:
Red meat
7B:
Poultry meat
9.1
Site Requirements and Approval
9.1.1
Premises Location
9.1.1.1 The location of the premises shall be such that adjacent and adjoining buildings, operations and land use
do not interfere with safe and hygienic operations.
9.1.1.2 Measures shall be established to maintain a suitable external environment, and the effectiveness of the
established measures shall be monitored and periodically reviewed.
9.1.2
Construction and Operational Approval
9.1.2.1 The construction and on-going operation of the premises on the Site shall be approved by the relevant
authority.
9.2
Construction and Control of Product Handling and Storage Areas
9.2.1
Housing of Livestock
9.2.1.1 Pens, yards and lairage shall be designed, located, constructed and maintained so as to minimize stress,
injury or disease and have minimal impact on the surrounding area and natural resources.
9.2.1.2 Fences, gates, and other surfaces in pens and yards shall be free from paints, dips, sanitizers and other
materials that are likely to cause contamination through ingestion, inhalation, or contact.
9.2.1.3
Animal housing shall be maintained in a clean and sanitary condition
9.2.1.4 Laneways, races, entrances, exits and loading/unloading ramps shall be designed to take advantage of
the social behavior and movement of the species and be designed and maintained to prevent any potential injury
points to animals.
9.2.1.5 Laneways, races, entrances, exits, and loading/unloading ramps shall be free from sharp objects that
may damage animals, and shall be free from chemicals other than those approved by the relevant authority for use
on livestock.
9.2.2
Facility Materials and Surfaces
9.2.2.1 Product contact surfaces and those surfaces not in direct contact with product in product handling areas,
raw material storage, packaging material storage, and cold storage areas shall be constructed of materials that will
not contribute a food safety risk.
9.2.3
Floors, Drains and Waste Traps
9.2.3.1 Floors shall be constructed of smooth, dense impact resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
9.2.3.2 Floors shall be sloped to floor drains at gradients suitable to allow the effective removal of all overflow or
waste water under normal working conditions.
9.2.3.3 Drains shall be constructed and located so they can be easily cleaned and not present a hazard.
9.2.3.4 Waste trap System shall be located away from any food handling area or entrance to the premises.
9.2.4
Walls, Partitions, Doors and Ceilings
9.2.4.1 Walls, partitions, ceilings and doors shall be of durable construction. Internal surfaces shall be smooth
and impervious with a light colored finish, and shall be kept clean (refer to element 9.2.14.1)
9.2.4.2 Wall to wall and wall to floor junctions shall be designed to be easily cleaned and sealed to prevent the
accumulation of food debris.
9.2.4.3 Ducting, conduit and pipes that convey services such as steam or water shall be designed and constructed
so as to allow ease of cleaning.
9.2.4.4 Doors, hatches and windows and their frames shall be of a material and construction which meets the
same functional requirements for internal walls and partitions.
i.
Doors and hatches shall be of solid construction; and
ii.
Windows shall be made of shatterproof glass or similar material.
9.2.4.5 Products shall be handled and stored in areas that are fitted with a ceiling or other acceptable structure
that is constructed and maintained to prevent the contamination of products.
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9.2.4.6 Drop ceilings shall be additionally constructed to enable monitoring for pest activity, facilitate cleaning and
provide access to utilities.
9.2.5
Stairs, Catwalks and Platforms
9.2.5.1 Stairs, catwalks and platforms in produce storage and handling areas shall be designed and constructed so
as not to present a product contamination risk, and shall be kept clean (refer to element 9.2.14.1)
9.2.6
Lighting and Light Fittings
9.2.6.1 Lighting in product processing and packing, storage and handling areas and at inspection stations shall be
of appropriate intensity to enable the staff to carry out their tasks efficiently and effectively.
9.2.6.2 Light fittings in processing areas, inspection stations, and all areas where product is exposed shall be
shatterproof, manufactured with a shatterproof covering or fitted with protective covers and recessed into or fitted
flush with the ceiling. Where fittings cannot be recessed, structures must be protected from accidental breakage,
manufactured from cleanable materials and addressed in the cleaning and sanitation program.
9.2.6.3 Light fittings in warehouses and other areas where product is protected shall be designed such as to
prevent breakage and product contamination.
9.2.7
Inspection Area
9.2.7.1
A suitable area within the processing and packing area shall be provided for the inspection of products if
required.
9.2.7.2
The inspection area shall be provided with facilities that are suitable for examination of the style of
product being processed. The inspection area shall have:
9.2.8
i.
Easy access to hand washing facilities; and
ii.
Sufficient lighting intensity to enable as thorough inspection of the product as required.
Dust, Fly and Vermin Proofing
9.2.8.1 All external windows, ventilation openings, doors and other openings shall be effectively sealed when
closed and proofed against dust, vermin and flies.
9.2.8.2 Personnel access doors shall be provided.
closing device.
They shall be effectively fly proofed and fitted with a self-
9.2.8.3 External doors, including overhead dock doors in food handling areas, used for product, pedestrian or truck
access shall be fly-proofed by at least one or a combination of the following methods:
i.
A self-closing device;
ii.
An effective air curtain;
iii.
A fly-proof screen; and
iv.
A fly-proof annex.
v. Adequate sealing around trucks in docking areas
9.2.8.4
Electric insect control devices, pheromone or other traps and baits shall be located so as not to present a
contamination risk to product, packaging, containers or processing equipment. Bait shall not be used inside
ingredient or food storage areas or processing areas.
9.2.9
Ventilation
9.2.9.1 Adequate ventilation shall be provided in enclosed processing and product storage and handling areas.
9.2.9.2 Product and product contact equipment shall be protected to avoid contamination from condensation.
9.2.10 Premises and Equipment Maintenance
9.2.10.1 The methods and responsibility for the maintenance and repair of plant, equipment and buildings shall
be documented planned and carried out in a manner that minimizes the risk of product, packaging or equipment
contamination.
9.2.10.2 Maintenance staff and contractors shall observe the following practices when undertaking maintenance
and repairs in any product processing, packaging, handling or storage area:
i.
Routine maintenance of plant and equipment shall be performed according to a maintenance-control
schedule and recorded;
ii.
Failures of plant and equipment shall be documented, reviewed and their repair incorporated into the
maintenance control schedule;
iii.
Compliance with the personnel and process hygiene requirements (refer to elements 9.3.1, 9.3.2,
9.3.3, 9.3.4) by maintenance staff and contractors;
iv.
Ensure facility supervisors are notified when maintenance or repairs are to be undertaken in any
product handling area;
v.
Inform the maintenance supervisor and the facility supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance is to be conducted outside processing times;
vi.
Remove all tools and debris from any maintenance activity once it has been completed and inform the
area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be completed
prior to the commencement of facility operations.
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Module 9: Good Manufacturing Practices for
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9.2.10.3 The maintenance schedule shall be prepared to cover building, equipment and other areas of the
premises critical to the maintenance if product safety and quality.
9.2.10.4 Equipment located over product or product conveyors shall be lubricated with food grade lubricants and
their use controlled so as to minimize the contamination of product.
9.2.10.5 Paint used in a product handling or contact zone shall be suitable for use and in good condition and shall
not be used on any product contact surface.
9.2.11 Calibration
9.2.11.1 The methods and responsibility for the calibration and re-calibration of measuring, test and inspection
equipment used for monitoring activities outlined in the pre-requisite program, food safety plans and food quality
plans and other process controls, or to demonstrate compliance with customer specifications shall be documented
and implemented.
9.2.11.2 Procedures shall be documented and implemented to address the disposition of potentially affected
Product should measuring, test and inspection equipment be found to be out of calibration state.
9.2.11.3 Calibrated measuring, test and inspected equipment shall be protected from damage and unauthorized
adjustment.
9.2.11.4 Equipment shall be calibrated against national or international reference standards and methods or to
accuracy appropriate to its use. In cases where standards are not available, the supplier shall provide evidence to
support the calibration reference method applied.
9.2.11.5 Calibration shall be performed according to regulatory requirements and/or to the equipment
manufacturers recommended schedule.
9.2.11.6
Calibration records shall be maintained.
9.2.12 Management of Pests and Vermin
9.2.12.1 The methods and responsibility for integrated pest management shall be documented and effectively
implemented. The premises, its surrounds, storage facilities, machinery and equipment shall be kept free of waste
or accumulated debris so as not to attract pests and vermin.
9.2.12.2
The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of the
pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the pest elimination methods;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make staff aware of the bait control program and the measures to take
when they come in contact with a bait station;
ix.
Outline the requirements for staff awareness and training in the use of pest and vermin control
chemicals and baits; and
x.
Measure the effectiveness of the program to verify the elimination of applicable pests.
9.2.12.3 Inspections for pest activity shall be undertaken on a regular basis by trained personnel and the
appropriate action taken if pests are present.
9.2.12.4
Records of all pest control applications shall be maintained.
9.2.12.5 Pesticides and other toxic chemicals shall be clearly labeled and stored as described in element 9.6.6
and handled and applied by properly trained personnel. They shall be used by or under the direct supervision of
trained personnel with a thorough understanding of the hazards involved, including the potential for the
contamination of food and food contact surfaces.
9.2.12.6
Pest control contractors shall be:
i.
Licensed and approved by the local relevant authority;
ii.
Use only trained and qualified operators who comply with regulatory requirements;
iii.
Use only approved chemicals;
iv.
Provide a pest control management plan (see Contract Services 2.3.3) which will include a site map
indicating the location of bait stations and traps;
v.
Report to a responsible senior management person on entering the premises and after the completion
of inspections or treatments; and
vi.
Provide a written report of their findings and the inspections and treatments applied.
9.2.12.7 The supplier shall dispose of unused pest control chemicals and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty chemical containers are not reused;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection; and
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iii.
Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
9.2.13 Equipment, Utensils and Protective Clothing
9.2.13.1 Equipment and utensils shall be designed, constructed, installed, operated and maintained so as not to
pose a contamination threat to product.
9.2.13.2 Stunning, killing equipment, benches, tables, conveyors, and other mechanical equipment shall be
easily dismantled for cleaning where appropriate or per manufacturer’s recommendations, and located so as not
pose a hindrance to the cleaning of the premises. Equipment surfaces shall be smooth, impervious and free from
cracks or crevices.
9.2.13.3 Product containers, knives, tubs, bins for edible and inedible material shall be constructed of materials
that are non-toxic, smooth, impervious and readily cleaned. Bins used for inedible material shall be clearly
identified.
9.2.13.4 Waste and overflow water from tubs, tanks and other equipment shall be discharged direct to the floor
drainage system.
9.2.13.5
cleaned.
Protective clothing shall be manufactured from material that is not liable to contaminate food and easily
9.2.13.6 Racks shall be provided for the temporary storage of protective clothing when staff leaves the
processing or packing areas and shall be provided in close proximity or adjacent to the personnel access doorways
and hand washing facilities.
9.2.14 Cleaning and Sanitation
9.2.14.1 The methods and responsibility for the cleaning of the product handling equipment and environment,
storage areas, staff amenities and toilet facilities shall be documented and implemented. Consideration shall be
given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned;
iv.
Who is responsible for the cleaning;
v.
Methods used to confirm the correct concentrations of detergents and sanitizers, and
vi.
The responsibility and methods used to verify the effectiveness of the cleaning and sanitation
program.
9.2.14.2
clothing.
Provision shall be made for the effective cleaning of processing equipment, utensils and protective
9.2.14.3 Suitably equipped areas shall be designated for cleaning product containers, knives, cutting boards and
other utensils and for protective clothing used by cleaning staff. These cleaning operations shall be controlled so
as not to interfere with manufacturing operations, equipment or product. Racks and containers for storing cleaned
utensils and protective clothing shall be provided as required.
9.2.14.4 Pre-operational hygiene and sanitation inspections shall be conducted by qualified personnel to ensure
food processing areas, product contact surfaces, equipment, staff amenities and sanitary facilities and other
essential areas are clean before the commencement of production.
9.2.14.5 The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be
documented and implemented. A verification schedule shall be prepared.
9.2.14.6 Detergents and sanitizers shall be suitable for use in a food manufacturing environment, and purchased
in accordance with applicable legislation. The organization shall ensure:
i.
An inventory of all chemicals purchased and used shall be maintained;
ii.
Detergents and sanitizers are stored as outlined in element 9.6.6;
iii.
Material Safety Data Sheets (MSDS) are provided for all detergents and sanitizers purchased; and
iv.
Only trained staff handles sanitizers and detergents.
9.2.14.7 The supplier shall dispose of unused detergents and sanitizers and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty detergent and sanitizer containers are appropriately cleaned, treated and labeled before use;
ii.
Empty detergent and sanitizer containers are labeled, isolated and securely stored while awaiting
collection; and
iii.
Unused and obsolete detergents and sanitizers are stored under secure conditions while waiting
authorized disposal by an approved vendor.
9.2.14.8 Where automated equipment is used to sterilize knives and tools, the temperature must be
documented.
9.2.14.9 A record of pre-operational hygiene inspections, cleaning and sanitation activities, and verification
activities shall be maintained.
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9.3
Personnel Hygiene and Welfare
9.3.1
Personnel
Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
9.3.1.1 Personnel suffering from infectious diseases or who are carriers of any infectious disease shall not engage
in product handling or processing operation.
9.3.1.2 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing products or
handling primary packaging materials or food contact surfaces.
9.3.1.3 Minor cuts or abrasions on exposed parts of the body shall be covered with a colored bandage containing a
metal strip or an alternative suitable waterproof and colored dressing.
9.3.1.4 Smoking, chewing, eating, drinking or spitting is not permitted in any food processing or food handling
areas.
9.3.2
Hand Washing
9.3.2.1 Hand wash basins shall be provided adjacent to all personnel access points and in accessible locations
throughout product handling, processing and packaging areas as required.
9.3.2.2 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a
minimum supplied with:
i.
A potable water supply at an appropriate temperature;
ii.
Liquid soap contained within a fixed dispenser;
iii.
Paper towels in a hands free cleanable dispenser; and
iv.
A means of containing used paper towels.
9.3.2.3 The following additional facilities shall be provided in high risk areas:
i.
Hands free operated taps; and
ii.
Hand sanitizers.
9.3.2.4 A sign advising people to wash their hands, and in appropriate languages, shall be provided in a
prominent position.
9.3.2.5 Personnel shall have clean hands and hands shall be washed by all personnel, including staff, contractors
and visitors:
i.
On entering food handling or processing areas;
ii.
After each visit to a toilet;
iii.
After using a handkerchief;
iv.
After smoking, eating or drinking; and
v.
After handling wash down hoses, dropped product or contaminated material.
9.3.2.6 When gloves are used, personnel shall maintain the hand washing practices outlined above.
9.3.3
Clothing
9.3.3.1 Clothing worn by staff engaged in handling products shall be maintained, stored, laundered and worn so as
not to present a contamination risk to the products.
9.3.3.2 Staff engaged in high risk areas shall change into clean clothing when entering high risk areas.
9.3.3.3 Clothing shall be clean at the commencement of each shift and maintained in a serviceable condition.
Excessively soiled uniforms shall be changed where they present a product contamination risk.
9.3.3.4 Disposable gloves and aprons shall be changed after each break, upon re-entry into the processing area
and when damaged.
9.3.3.5 Non-disposable aprons and gloves shall be cleaned and sanitized as required and when not in use stored
on racks provided in the processing area and not on packaging, ingredients, product or equipment.
9.3.4
Jewelry and Personal Effects
9.3.4.1 Jewelry and other loose objects shall not be worn or taken into a product handling or processing operation
or any area where food is exposed. The wearing of plain bands with no stones and medical alert bracelets that
cannot be removed can be permitted, however the supplier will need to consider their customer requirements and
the applicable food legislation.
9.3.5
Visitors
9.3.5.1 All visitors, including management and maintenance staff, shall wear suitable clothing and footwear when
entering any food processing or handling area.
9.3.5.2 All visitors shall be required to remove jewelry and other loose objects.
9.3.5.3 Visitors exhibiting visible signs of illness shall be prevented from entering areas in which food is handled
or processed.
9.3.5.4 Visitors shall enter and exit food handling areas through the proper staff entrance points and comply with
all hand washing and personal practice requirements.
9.3.6
Staff Amenities
9.3.6.1 Staff amenities supplied with appropriate lighting and ventilation shall be made available for the use of all
persons engaged in the handling and processing of products.
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9.3.7
Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
Change Rooms
9.3.7.1 Facilities shall be provided to enable staff and visitors to change into and out of protective clothing as
required.
9.3.7.2 Change rooms shall be provided for staff engaged in the processing or packaging operations.
9.3.7.3 Provision shall be made for staff to store their street clothing and personal items separate from product
contact zones and product and packaging storage areas.
9.3.7.4 Where required a sufficient number of showers shall be provided for use by staff.
9.3.8
Laundry
9.3.8.1
Provision shall be made for the laundering and storage of clothing worn by staff engaged in high risk
processes and for staff engaged in processing operations in which clothing can be heavily soiled.
9.3.9
Sanitary Facilities
9.3.9.1 Toilet rooms shall be:
i.
Designed and constructed so that they are accessible to staff and separate from any processing and
food handling operations;
ii.
Accessed from the processing area via an airlock vented to the exterior or through an adjoining room;
iii.
Sufficient in number for the maximum number of staff;
iv.
Constructed so that they can be easily cleaned and maintained; and
v.
Kept clean and tidy.
9.3.9.2 Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to a
septic tank or a sewer system.
9.3.9.3 Hand wash basins shall be provided immediately outside or inside the toilet room and designed as outlined
in element 9.3.2.2.
9.3.10 Lunch Rooms
9.3.10.1
Separate lunch room facilities shall be provided away from a product contact/handling zone.
9.3.10.2
Lunch room facilities shall be:
i.
Ventilated and well lit;
ii.
Provided with adequate tables and seating to cater for the maximum number of staff at one sitting;
iii.
Equipped with a sink serviced with hot and cold potable water for washing utensils;
iv.
Equipped with refrigeration and heating facilities enabling them to store or heat food and to prepare
non-alcoholic beverages if required, and
v.
Kept clean and free from waste materials and pests.
9.3.10.3 Signage in appropriate languages advising people to wash their hands before entering the food
processing areas shall be provided in a prominent position in lunch rooms and at lunch room exits.
9.3.11
First Aid
9.3.11.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized care.
9.4
Site Practices
9.4.1
Animal Husbandry
9.4.1.1 Ante mortem inspections by a qualified person shall be carried out to ensure animals are free from disease
and fit for human consumption.
9.4.1.2 Animals that are subject to the control of prohibited substances such as veterinary medicine, heavy metals
or pesticides shall be identified and procedures implemented for their segregation and processing.
9.4.1.3 Animals for slaughter shall have uncontaminated water at all times, and clean feed if held in lairage for
extended periods.
9.4.1.4 Employees responsible for the care and management of animals ante mortem shall be trained and
competent in animal handling and welfare. They shall be able to recognize the early signs of distress and disease
and ensure pain and stress to animals is minimized.
9.4.1.5 Animals deemed to be diseased or otherwise unfit for human consumption must be segregated from
healthy animals and condemned or otherwise excluded from processing.
9.4.1.6 The supplier shall implement measures to prevent cross contamination of animals for slaughter from
agricultural or cleaning chemicals, waste materials, or other materials that could contaminate the animals.
9.4.2
Slaughtering and Butchering
9.4.2.1 Only slaughtering methods that are humane and approved for use for a given species by national or
international regulations shall be used.
9.4.2.2 Where a two stage process is used, the time interval between stunning and killing shall not exceed
regulatory requirements. The use of direct air injection is not permitted.
9.4.2.3
The facility shall have a pathogen control program that addresses known biological hazards and
demonstrates compliance to regulations or customer standards.
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Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
9.4.2.4
Knives and tools used for skinning shall be cleaned and sterilized between each carcass. Knives and
tools that become contaminated shall be cleaned and sterilized prior to use on edible tissue.
9.4.2.5
Procedures shall be documented and implemented to maintain the hygienic condition of the carcass and
avoid contamination. Fecal matter shall be removed at the slaughter floor and the carcass shall be inspected by an
authorized person post mortem for signs of disease or contamination.
9.4.2.6
Where applicable, procedures shall be in place for the grading of carcasses.
9.4.2.7
Cooling processes shall have defined time and temperature requirements and be regularly monitored
and recorded.
9.4.2.8
Procedures shall be in place for the safe and hygienic evisceration and primal cutting of the carcass and
the identification of edible and non-edible parts.
9.4.2.9
Edible parts of the carcass shall be processed, and stored using clean, sanitized tools and containers
and protected from contamination. They shall be covered when not in process.
9.4.2.10 All edible parts of the carcass shall be identified through the post mortem inspection process and
traceable back to the animal and date and time of slaughter.
9.4.2.11 Slaughter and butchering hygiene shall be regularly monitored for, at minimum, fecal pathogens.
Testing shall include swabbing of tables, benches, and tools, and product microbiological analysis. Risk-based
species-specific microbiological analysis shall also be in place
9.4.2.12
9.4.3
All wash down hoses shall be stored on hose racks after use and not left on the floor.
Staff Engaged in Product Handling, Processing and Packaging Operations
9.4.3.1
All personnel engaged in any product handling, processing or packaging operations shall ensure that
products and materials are handled and stored in such a way as to prevent damage or product contamination.
9.4.3.2
All personnel engaged in any product handling, processing or packaging operations shall comply with the
following processing practices:
i.
Personnel entry to processing areas shall be through the personnel access doors only;
ii.
All doors are to be kept closed. Doors shall not be left open for extended periods when access for
waste removal or receiving of product/ingredient/packaging is required;
iii.
Packaging material, product, and ingredients shall be kept in appropriate containers as required and
off the floor;
iv.
Waste shall be contained in the bins identified for this purpose and removed from the processing area
on a regular basis and not left to accumulate;
9.5
Water Supply
9.5.1
Water Supply
9.5.1.1 Adequate supplies of potable water drawn from a known clean source shall be provided for use during
processing operations, and for cleaning the premises and equipment.
9.5.1.2 Supplies of hot and cold water shall be provided as required to enable the effective cleaning of the
premises and equipment.
9.5.2
Monitoring Water Microbiology and Quality
9.5.2.1 Water used for washing and treating product; and for cleaning product contact surfaces, shall comply with
national or internationally recognized potable water microbiological and quality standards as required.
9.5.3
Water Delivery
9.5.3.1
The delivery of water within the premises shall ensure potable water is not contaminated.
9.5.3.2
9.5.4
The use of non-potable water shall be controlled such that:
i.
There is no cross contamination between potable and non-potable water lines;
ii.
Non-potable water piping and outlets are clearly identified; and
Water Treatment
9.5.4.1
Water treatment methods, equipment and materials shall be designed, installed and operated to ensure
water receives an effective treatment.
9.5.4.2 Water treatment equipment shall be monitored regularly to ensure it remains serviceable.
9.5.4.3 Treated water shall be regularly monitored to ensure it meets the indicators specified.
9.5.5
Ice Supply
9.5.5.1
Where ice is required, adequate supplies of ice derived from water that complies with element 9.5.2.1
shall be provided for use during processing operations or as a processing aid or an ingredient.
9.5.5.2 Ice rooms and receptacles shall be constructed of materials as outlined in elements 9.2.2, 9.2.3, and 9.2.4
and designed to minimize contamination of the ice during storage and distribution.
9.5.6
Analysis
9.5.6.1 Microbiological analysis of the water and ice supply shall be conducted to verify the cleanliness of the
supply, the monitoring activities and the effectiveness of the treatment measures implemented.
9.5.6.2 Water and ice shall be analyzed using reference standards and methods.
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9.5.7
Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
Air Quality
9.5.7.1
Compressed air used in the production process shall be clean and present no risk to food safety;
9.5.7.2
Compressed air used in the production process shall be regularly monitored for purity.
9.6
Storage and Transport
9.6.1
Animal Transport
9.6.1.1 Vehicles used for transport of animals for slaughter shall be fit for purpose and clean. Vehicles shall be
inspected and a record kept of the inspection.
9.6.1.2 Transport times for animals for slaughter shall be kept to a minimum and times recorded.
9.6.2
Pens and Yards
9.6.2.1 Where animals are held for extended periods in pens and yards, adequate supplies of water and fodder
shall be provided.
9.6.3
Chilling of Product, Cool Storage, and Cold Storage
9.6.3.1 The supplier shall provide confirmation of the effective operational performance of freezing, chilling, and
cold storage facilities, and cool rooms. Chillers, blast freezers, and cold storage rooms shall be:
i.
Designed and constructed to allow for the hygienic and efficient refrigeration and storage of food; and
ii.
Easily accessible for inspection and cleaning.
9.6.3.2 Sufficient refrigeration capacity shall be available to chill, freeze, store chilled, or store frozen product at
the maximum anticipated throughput with allowance for periodic cleaning of storage rooms.
9.6.3.3 Discharge from defrost and condensate lines shall be controlled and discharged to the drainage system.
9.6.3.4 Freezing, chilling, and cold storage rooms shall be fitted with temperature monitoring equipment and
located so as to monitor the warmest part of the room and be fitted with measurement devices that are easily
readable and accessible.
9.6.3.5 Loading and unloading docks shall be designed to protect product during loading and unloading.
9.6.4
Storage of Dry Ingredient, Packaging, and Shelf Stable Packaged Goods
9.6.4.1 Rooms used for the storage of product ingredients, packaging, and other dry goods shall be located away
from wet areas and constructed to protect the product from contamination and deterioration.
9.6.4.2 Racks provided for the storage of packaging shall be constructed of impervious materials and designed to
enable cleaning of the floors and the storage room. Storage areas shall be constructed to prevent packaging
becoming a harborage for pests or vermin.
9.6.4.3 Vehicles used in food contact, handling or processing zones or in cool storage rooms shall be designed and
operated so as not to present a food safety hazard.
9.6.5
Storage of Equipment and Containers
9.6.5.1 Storage rooms shall be designed and constructed to allow for the hygienic and efficient storage of
equipment and containers.
9.6.6
Storage of Hazardous Chemicals and Toxic Substances
9.6.6.1 Hazardous chemicals and toxic substances with the potential for food contamination shall be stored so as
not to present a hazard to staff, product, packaging, product handling equipment or areas in which product is
handled, stored or transported.
9.6.6.2 Utensils and packaging shall not be stored in areas used to store hazardous chemicals and toxic
substances.
9.6.6.3 Daily supplies of chemical used for continuous sanitizing of water or as a processing aid, or for emergency
cleaning of equipment or surfaces in product contact zones, may be stored within or in close proximity to a
processing or packaging area provided access to the chemical storage facility is restricted to authorized personnel.
9.6.6.4 Pesticides, rodenticides, fumigants and insecticides shall be stored separate from sanitizers and
detergents. All chemicals shall be stored in their original containers.
9.6.6.5 Hazardous chemical and toxic substance storage facilities shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be adequately ventilated;
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of hazardous chemicals and toxic substances;
v.
Have instructions on the safe handling of hazardous chemicals and toxic substances readily accessible
to staff;
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage
facility;
vii. Have suitable first aid equipment and protective clothing available in close proximity to the storage
area;
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Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
viii. In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
ix.
9.6.7
Be equipped with spillage kits and cleaning equipment.
Alternative Storage and Handling of Goods
9.6.7.1
Where goods described in elements 9.6.1 to 9.6.6 are held under temporary or overflow conditions that
are not designed for the safe storage of goods, a risk analysis shall be undertaken to ensure there is no risk to the
integrity of those goods or contamination or adverse effect on food safety and quality.
9.6.8
Loading, Transport and Unloading Practices
9.6.8.1 The practices applied during loading, transport and unloading of food shall be documented, implemented
and designed to maintain appropriate storage conditions and product integrity. Product shall be loaded, transported
and unloaded under conditions suitable to prevent cross contamination.
9.6.9
Loading
9.6.9.1
Vehicles (trucks/vans/containers) used for transporting products shall be inspected prior to loading to
ensure they are clean, in good repair, suitable for the purpose and free from odors or other conditions that may
impact negatively on the products.
9.6.9.2
Loading practices shall be designed to minimize unnecessary exposure of product to conditions
detrimental to maintaining Product and package integrity.
9.6.10 Transport
9.6.10.1 Refrigerated units shall maintain the product at required temperatures and the unit’s temperature
settings shall be set, checked and recorded before loading and core product temperatures recorded at regular
intervals during loading as appropriate.
9.6.10.2 The refrigeration unit shall be operational at all times and checks completed of the units operation, the
door seals and the storage temperature checked at regular intervals during transit.
9.6.11 Unloading
9.6.11.1 Prior to opening the doors the refrigeration unit’s storage temperature settings and operating
temperature shall be checked and recorded. Unloading shall be completed efficiently and product temperatures
shall be recorded at the commencement of unloading and at regular intervals during unloading.
9.6.11.2 Unloading practices shall be designed to minimize unnecessary exposure of product to conditions
detrimental to maintaining product and package integrity.
9.7
Separation of Functions
9.7.1
Process Flow
9.7.1.1
The process flow shall be designed to prevent cross contamination and organized so there is a
continuous flow of product through the processing and packaging area. The flow of personnel shall be managed
such that the potential for contamination is minimized
9.7.2
Receipt of Raw and Packaging Materials and Ingredients
9.7.2.1
Dry ingredients and packaging shall be received and stored separately from chilled raw materials to
ensure there is no cross contamination. Product shall be received and stored separately to ensure there is no cross
contamination.
9.7.3
High Risk Areas
The processing of high risk food shall be conducted under controlled conditions such that:
9.7.4
i.
High risk areas are protected/segregated from other processes, raw materials or staff who handle raw
materials to ensure cross contamination is minimized;
ii.
High risk areas are only serviced by staff dedicated to that function;
iii.
Staff access points are located, designed and equipped to enable staff to don distinctive protective
clothing and to practice a high standard of personal hygiene to prevent product contamination;
iv.
Product transfer points are located and designed so as not to compromise high risk segregation and to
minimize the risk of cross contamination; and
v.
An environmental monitoring program shall be in place for high risk areas. As a minimum, a written
procedure detailing the applicable pathogens or indicator organisms to test for (for that industry), the
number of samples to be taken, and the frequency of sampling and corrective actions shall be
documented. The responsibility and methods shall be documented and implemented. A sampling
schedule shall be prepared.
Control of Foreign Matter Contamination
9.7.4.1
The responsibility and methods used to prevent foreign matter contamination of product shall be
documented, implemented and communicated to all staff.
9.7.4.2
Inspections shall be performed to ensure plant and equipment remains in good condition and potential
contaminants have not detached or become damaged or deteriorated.
9.7.4.3
The use of temporary fasteners such as string, wire or tape to fix or hold equipment shall not be
permitted.
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Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
9.7.4.4 The following preventative measures shall be implemented where applicable to prevent glass
contamination:
i.
All glass objects or similar material in food handling/contact zones shall be listed in a glass register
including details of their location;
ii.
Containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or
other like material (except where product is contained in packaging made from these materials, or
measurement instruments with glass dial covers or MIG thermometers required under regulation)
shall not be permitted in food processing/contact zones;
iii.
Conduct regular inspections of food handling/contact zones to ensure they are free of glass or other
like material and to establish no changes to the condition of the objects listed in the glass register;
and
iv.
Inspect glass instrument dial covers on processing equipment and MIG thermometers at the start and
finish of each shift to confirm they have not been damaged.
9.7.4.5
Wooden pallets and other wooden utensils used in food handling/contact zones shall be dedicated for
that purpose, clean, maintained in good order and their condition subject to regular inspection.
9.7.4.6
Loose metal objects on equipment, equipment covers and overhead structures shall be removed or
tightly fixed so as not to present a hazard.
9.7.4.7
Knives and cutting instruments used in processing and packaging operations shall be controlled, and
kept clean and well maintained.
9.7.5
Detection of Foreign Objects
9.7.5.1 The responsibility, methods and frequency for monitoring, maintaining, calibrating and using screens,
sieves, filters or other technologies to remove or detect foreign matter shall be documented and implemented.
9.7.5.2 Metal detectors or other physical contaminant detection technologies shall be routinely monitored,
validated and verified for operational effectiveness. The equipment shall be designed to isolate defective products
and indicate when it is rejected.
9.7.5.3 Records shall be maintained of the inspection by foreign object detection devices, and their verification.
9.7.6
Managing Foreign Matter Contamination Incidents
9.7.6.1 In all cases of foreign matter contamination the affected batch or item shall be isolated, inspected,
reworked or disposed of.
9.7.6.2 In circumstances where glass or similar material breakage occurs the affected area is to be isolated,
cleaned and thoroughly inspected (including cleaning equipment and footwear) and cleared by a suitably
responsible person prior to the commencement of operations.
9.8
On-Site Laboratories
9.8.1.1 On site laboratories shall be located separate from any food processing or handling activity and designed
to limit access only to authorized personnel.
9.8.1.2 Provision shall be made to isolate and contain all laboratory waste held on the premises and manage it
separately from food waste. Laboratory waste water outlet shall as a minimum be down stream of drains that
service food processing and handling areas.
9.8.1.3 Signage shall be displayed identifying the laboratory area as a restricted area accessible only by
authorized personnel.
9.9
Waste Disposal
9.9.1
Dry and Liquid Waste Disposal
9.9.1.1 Procedures shall be documented and implemented for the collection and removal of animal waste
materials via authorized waste disposal contractors.
9.9.1.2 The responsibility and methods used to collect and handle dry, wet and liquid waste (other than animal
waste) and store prior to removal from the premises shall be documented and implemented.
9.9.1.3 Waste shall be removed on a regular basis and not build up in food handling areas. Designated waste
accumulation areas shall be maintained in a clean and tidy condition until such time as external waste collection is
undertaken.
9.9.1.4 Waste disposal equipment, collection bins and storage areas shall be maintained in a serviceable condition
and cleaned and sanitized regularly so as not to attract pests and other vermin.
9.9.1.5 Adequate provision shall be made for the disposal of all liquid waste from processing and food handling
areas. Liquid waste shall be either removed from the processing environment continuously or held in a designated
storage area in lidded containers prior to disposal so as not to present a hazard.
9.9.1.6 Reviews of the effectiveness of waste management shall form part of daily hygiene inspections and the
results of these inspections shall be included in the relevant hygiene reports.
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9.10
Module 9: Good Manufacturing Practices for
Pre-processing of Animal Products
Exterior
9.10.1 Grounds and Roadways
9.10.1.1 The grounds and area surrounding the premises shall be maintained to minimize dust and be kept free
of waste or accumulated debris so as not to attract pests and vermin.
9.10.1.2 Paths, roadways and loading and unloading areas shall be maintained so as not to present a hazard to
the food safety operation of the premises.
9.10.1.3 Surroundings shall be kept neat and tidy and not present a hazard to the hygienic and sanitary
operation of the premises.
9.10.1.4
Paths from amenities leading to facility entrances are required to be effectively sealed.
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
Module 10: Food Safety Fundamentals – Good Manufacturing
Practices for Pre-processing of Plant Products (GFSI D)
This module covers the Good Manufacturing Practices requirements for the pre-process handling of plant products,
nuts, and grains.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 4:
Fresh produce pack house operations
FSC 5A: Seed production (mung bean seeds, alfalfa seeds, watercress seeds)
10.1
Site Requirements and Approval
10.1.1
Premises Location
10.1.1.1 The location of the premises shall be such that adjacent and adjoining buildings, operations and land
use do not interfere with safe and hygienic operations.
10.1.1.2 Measures shall be established to maintain a suitable external environment, and the effectiveness of the
established measures shall be monitored and periodically reviewed.
10.1.2
Construction and Operational Approval
10.1.2.1 The construction and on-going operation of the premises on the site shall be approved by the relevant
authority.
10.2
Construction and Control of Product Handling and Storage Areas
10.2.1 Materials and Surfaces
10.2.1.1 Product contact surfaces and those surfaces not in direct contact with produce in produce handling
areas, raw material storage, packaging material storage, and cold storage areas shall be constructed of materials
that will not contribute a food safety risk.
10.2.2 Floors, Drains and Waste Traps
10.2.2.1 Floors shall be constructed of smooth, dense impact resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
10.2.2.2 Floors shall be sloped to floor drains at gradients suitable to allow the effective removal of all overflow or
waste water under normal working conditions.
10.2.2.3
Drains shall be constructed and located so they can be easily cleaned and not present a hazard.
10.2.2.4
Waste trap System shall be located away from any food handling area or entrance to the premises.
10.2.3 Walls, Partitions, Doors and Ceilings
10.2.3.1 Walls, partitions, ceilings and doors shall be of durable construction. Internal surfaces shall be smooth
and impervious with a light colored finish, and shall be kept clean (refer to element 10.2.13.1)
10.2.3.2 Wall to wall and wall to floor junctions shall be designed to be easily cleaned and sealed to prevent the
accumulation of food debris.
10.2.3.3 Ducting, conduit and pipes that convey services such as steam or water shall be designed and
constructed so as to allow ease of cleaning.
10.2.3.4 Doors, hatches and windows and their frames shall be of a material and construction which meets the
same functional requirements for internal walls and partitions.
i. Doors and hatches shall be of solid construction; and
ii. Windows shall be made of shatterproof glass or similar material.
10.2.3.5 Produce shall be handled and stored in areas that are fitted with a ceiling or other acceptable structure
that is constructed and maintained to prevent the contamination of product.
10.2.3.6 Drop ceilings shall be additionally constructed to enable monitoring for pest activity, facilitate cleaning
and provide access to utilities.
10.2.4 Stairs, Catwalks and Platforms
10.2.4.1 Stairs, catwalks and platforms in produce storage and handling areas shall be designed and constructed
so as not to present a product contamination risk, and shall be kept clean (refer to element 10.2.13.1)
10.2.5 Lighting and Light Fittings
10.2.5.1 Lighting in produce processing and packing, storage and handling areas and at inspection stations shall
be of appropriate intensity to enable the staff to carry out their tasks efficiently and effectively.
10.2.5.2 Light fittings in processing areas, inspection stations, and all areas where product is exposed, shall be
shatterproof, manufactured with a shatterproof covering or fitted with protective covers and recessed into or fitted
flush with the ceiling. Where fittings cannot be recessed, structures must be protected from accidental breakage,
manufactured from cleanable materials and addressed in the cleaning and sanitation program.
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Pre-processing of Plant Products
10.2.5.3 Light fittings in warehouses and other areas where product is protected shall be designed such as to
prevent breakage and product contamination.
10.2.6 Inspection Area
10.2.6.1 A suitable area within the processing and packing area shall be provided for the inspection of product if
required.
10.2.6.2 The inspection area shall be provided with facilities that are suitable for examination of the style of
product being processed. The inspection area shall have:
i.
Easy access to hand washing facilities; and
ii.
Sufficient lighting intensity to enable as thorough inspection of the product as required.
10.2.7 Dust, Fly and Vermin Proofing
10.2.7.1 All external windows, ventilation openings, doors and other openings shall be effectively sealed when
closed and proofed against dust, vermin and flies.
10.2.7.2 Personnel access doors shall be provided. They shall be effectively fly-proofed and fitted with a selfclosing device.
10.2.7.3 External doors, including overhead dock doors in food handling areas, used for product, pedestrian or
truck access shall be fly-proofed by at least one or a combination of the following methods:
i.
A self-closing device;
ii.
An effective air curtain;
iii.
A fly-proof screen; and
iv.
A fly-proof annex.
v.
Adequate sealing around trucks in docking areas
10.2.7.4 Electric insect control devices, pheromone or other traps and baits shall be located so as not to present a
contamination risk to product, packaging, containers or processing equipment. Bait shall not be used inside
ingredient or food storage areas or processing areas.
10.2.8 Ventilation
10.2.8.1
Adequate ventilation shall be provided in enclosed processing and product storage and handling areas.
10.2.9 Premises and Equipment Maintenance
10.2.9.1 The methods and responsibility for the maintenance and repair of plant, equipment and buildings shall
be documented planned and carried out in a manner that minimizes the risk of product, packaging or equipment
contamination.
10.2.9.2 Maintenance staff and contractors shall observe the following practices when undertaking maintenance
and repairs in any product processing, packaging, handling or storage area:
i.
Routine maintenance of plant and equipment shall be performed according to a maintenance-control
schedule and recorded;
ii.
Failures of plant and equipment shall be documented, reviewed and their repair incorporated into the
maintenance control schedule;
iii.
Compliance with the personnel and process hygiene requirements (refer to elements 10.3.1, 10.3.2,
10.3.3, 10.3.4) by maintenance staff and contractors;
iv.
Ensure facility supervisors are notified when maintenance or repairs are to be undertaken in any food
handling area;
v.
Inform the maintenance supervisor and the facility supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance is to be conducted outside processing times;
vi.
Remove all tools and debris from any maintenance activity once it has been completed and inform
the area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be
completed prior to the commencement of facility operations.
10.2.9.3 The maintenance schedule shall be prepared to cover building, equipment and other areas of the
premises critical to the maintenance if product safety and quality.
10.2.9.4 Equipment located over product or product conveyors shall be lubricated with food grade lubricants and
their use controlled so as to minimize the contamination of product.
10.2.9.5 Paint used in a product handling or contact zone shall be suitable for use and in good condition and shall
not be used on any product contact surface.
10.2.10
Calibration
10.2.10.1 The methods and responsibility for the calibration and re-calibration of measuring, test and inspection
equipment used for monitoring activities outlined in pre-requisite program, food safety plans and food quality plans
and other process controls, or to demonstrate compliance with customer specifications shall be documented and
implemented.
10.2.10.2 Procedures shall be documented and implemented to address the disposition of potentially affected
product should measuring, test and inspection equipment be found to be out of calibration state.
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
10.2.10.3 Calibrated measuring, test and inspected equipment shall be protected from damage and unauthorized
adjustment.
10.2.10.4 Equipment shall be calibrated against national or international reference standards and methods or to
accuracy appropriate to its use. In cases where standards are not available, the supplier shall provide evidence to
support the calibration reference method applied.
10.2.10.5 Calibration shall be performed according to regulatory requirements and/or to the equipment
manufacturers recommended schedule.
10.2.10.6
Calibration records shall be maintained.
10.2.11
Management of Pests and Vermin
10.2.11.1 The methods and responsibility for integrated pest management shall be documented and effectively
implemented. The premises, its surrounds, storage facilities, machinery and equipment shall be kept free of waste
or accumulated debris so as not to attract pests and vermin.
10.2.11.2
i.
The pest and vermin management program shall:
Describe the methods and responsibility for the development, implementation and maintenance of
the pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the pest elimination methods;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii.
List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii.
Outline the methods used to make staff aware of the bait control program and the measures to take
when they come in contact with a bait station;
ix.
Outline the requirements for staff awareness and training in the use of pest and vermin control
chemicals and baits; and
x.
Measure the effectiveness of the program to verify the elimination of applicable pests.
10.2.11.3 Inspections for pest activity shall be undertaken on a regular basis by trained personnel and the
appropriate action taken if pests are present.
10.2.11.4
Records of all pest control applications shall be maintained.
10.2.11.5 Pesticides and other toxic chemicals shall be clearly labeled and stored as described in 10.6.4 and
handled and applied by properly trained personnel. They shall be used by or under the direct supervision of trained
personnel with a thorough understanding of the hazards involved, including the potential for the contamination of
food and food contact surfaces.
10.2.11.6
Pest control contractors shall be:
i.
Licensed and approved by the local relevant authority;
ii.
Use only trained and qualified operators who comply with regulatory requirements;
iii.
Use only approved chemicals;
iv.
Provide a pest control management plan (see contract services in section 2.3.3) which will include a
site map indicating the location of bait stations and traps;
v.
Report to a responsible senior management person on entering the premises and after the
completion of inspections or treatments; and
vi.
Provide a written report of their findings and the inspections and treatments applied.
10.2.11.7
The supplier shall dispose of unused pest control chemicals and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty chemical containers are not reused;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection; and
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
10.2.12
Equipment, Utensils and Protective Clothing
10.2.12.1 Equipment and utensils shall be designed, constructed, installed, operated and maintained so as not to
pose a contamination threat to products.
10.2.12.2 Benches, tables, conveyors, graders, packers and other mechanical equipment shall be easily
dismantled for cleaning and located so as not pose a hindrance to the cleaning of the premises. Equipment
surfaces shall be smooth, impervious and free from cracks or crevices.
10.2.12.3 Product containers, tubs, bins for edible and inedible material shall be constructed of materials that are
non-toxic, smooth, impervious and readily cleaned. Bins used for inedible material shall be clearly identified.
10.2.12.4 Waste and overflow water from tubs, tanks and other equipment shall be discharged direct to the floor
drainage system.
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
10.2.12.5 Protective clothing shall be manufactured from material that is not liable to contaminate food and easily
cleaned.
10.2.12.6 Racks shall be provided for the temporary storage of protective clothing when staff leaves the
processing or packing areas and shall be provided in close proximity or adjacent to the personnel access doorways
and hand washing facilities.
10.2.13
10.2.13.1
Cleaning and Sanitation
Cleaning and Sanitation Program
10.2.13.1 The methods and responsibility for the cleaning of the product handling equipment and environment,
storage areas, staff amenities and toilet facilities shall be documented and implemented. Consideration shall be
given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned;
iv.
Who is responsible for the cleaning;
v.
Methods used to confirm the correct concentrations of detergents and sanitizers, and
vi.
The responsibility and methods used to verify the effectiveness of the cleaning and sanitation
program.
10.2.13.2 Provision shall be made for the effective cleaning of processing equipment, utensils and protective
clothing.
10.2.13.3 Suitably equipped areas shall be designated for cleaning product containers, knives, cutting boards and
other utensils and for protective clothing used by cleaning staff. These cleaning operations shall be controlled so
as not to interfere with manufacturing operations, equipment or products. Racks and containers for storing cleaned
utensils and protective clothing shall be provided as required.
10.2.13.4 Pre-operational hygiene and sanitation inspections shall be conducted by qualified personnel to ensure
food processing areas, product contact surfaces, equipment, staff amenities and sanitary facilities and other
essential areas are clean before the commencement of production.
10.2.13.5 The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be
documented and implemented. A verification schedule shall be prepared.
10.2.13.6 Detergents and sanitizers shall be suitable for use in a food manufacturing environment, and purchased
in accordance with applicable legislation. The organization shall ensure:
i.
An inventory of all chemicals purchased and used shall be maintained;
ii.
Detergents and sanitizers are stored as outlined in 10.6.4;
iii.
Material Safety Data Sheets (MSDS) are provided for all detergents and sanitizers purchased; and
iv.
Only trained staff handles sanitizers and detergents.
10.2.13.7 The supplier shall dispose of unused detergents and sanitizers and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty detergent and sanitizer containers are appropriately cleaned, treated and labeled before use;
ii.
Empty detergent and sanitizer containers are labeled, isolated and securely stored while awaiting
collection; and
iii.
Unused and obsolete detergents and sanitizers are stored under secure conditions while waiting
authorized disposal by an approved vendor.
10.2.13.8 A record of pre-operational hygiene inspections, cleaning and sanitation activities, and verification
activities shall be maintained.
10.3
Personnel Hygiene and Welfare
10.3.1
Personnel
10.3.1.1 Personnel suffering from infectious diseases or are carriers of, any infectious disease shall not engage in
product handling or processing operation.
10.3.1.2 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing products or
handling primary packaging materials or food contact surfaces. Minor cuts or abrasions on exposed parts of the
body shall be covered with colored bandage containing a metal strip or an alternative suitable waterproof and
colored dressing.
10.3.1.3
areas.
Smoking, chewing, eating, drinking or spitting is not permitted in any food processing or food handling
10.3.2
Hand Washing
10.3.2.1 Hand wash basins shall be provided adjacent to all personnel access points and in accessible locations
throughout product handling, processing and packaging areas as required.
10.3.2.2 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a
minimum supplied with:
i. A potable water supply at an appropriate temperature;
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
ii. Liquid soap contained within a fixed dispenser;
iii. Paper towels in a hands free cleanable dispenser; and
iv. A means of containing used paper towels.
10.3.2.3 The following additional facilities shall be provided in high risk areas:
i. Hands free operated taps; and
ii. Hand sanitizers.
10.3.2.4 A sign advising people to wash their hands, and in appropriate languages, shall be provided in a
prominent position.
10.3.2.5 Personnel shall have clean hands and hands shall be washed by all personnel, including staff,
contractors and visitors:
i.
On entering food handling or processing areas;
ii.
After each visit to a toilet;
iii.
After using a handkerchief;
iv.
After smoking, eating or drinking; and
v.
10.3.2.6
After handling wash down hoses, dropped products or contaminated material.
When gloves are used, personnel shall maintain the hand washing practices outlined above.
10.3.3 Clothing
10.3.3.1 Clothing worn by staff engaged in handling products shall be maintained, stored, laundered and worn so
as not to present a contamination risk to products.
10.3.3.2
Staff engaged in high risk areas shall change into clean clothing when entering high risk areas.
10.3.3.3 Clothing shall be clean at the commencement of each shift and maintained in a serviceable condition.
Excessively soiled uniforms shall be changed where they present a product contamination risk.
10.3.3.4 Disposable gloves and aprons shall be changed after each break, upon re-entry into the processing area
and when damaged. Non-disposable aprons and gloves shall be cleaned and sanitized as required and when not in
use stored on racks provided in the processing area and not on packaging, ingredients, products or equipment.
10.3.4 Jewelry and Personal Effects
10.3.4.1 Jewelry and other loose objects shall not be worn or taken into a product handling or processing
operation or any area where food is exposed. The wearing of plain bands with no stones and medical alert bracelets
that cannot be removed can be permitted, however the supplier will need to consider their customer requirements
and the applicable food legislation.
10.3.5 Visitors
10.3.5.1 All visitors, including management and maintenance staff, shall wear suitable clothing and footwear
when entering any food processing or handling area.
10.3.5.2
All visitors shall be required to remove jewelry and other loose objects.
10.3.5.3 Visitors exhibiting visible signs of illness shall be prevented from entering areas in which food is handled
or processed.
10.3.5.4 Visitors shall enter and exit food handling areas through the proper staff entrance points and comply
with all hand washing and personal practice requirements.
10.3.6 Staff Amenities
10.3.6.1 Staff amenities supplied with appropriate lighting and ventilation shall be made available for the use of
all persons engaged in the handling and processing of product.
10.3.7 Change Rooms
10.3.7.1 Facilities shall be provided to enable staff and visitors to change into and out of protective clothing as
required.
10.3.7.2 Change rooms shall be provided for staff engaged in the processing or packaging of high risk foods or
processing or packaging operations in which clothing can be soiled.
10.3.7.3 Provision shall be made for staff to store their street clothing and personal items separate from product
contact zones and product and packaging storage areas.
10.3.7.4
Where required a sufficient number of showers shall be provided for use by staff.
10.3.8 Laundry
10.3.8.1 Provision shall be made for the laundering and storage of clothing worn by staff engaged in high risk
processes and for staff engaged in processing operations in which clothing can be heavily soiled.
10.3.9 Sanitary Facilities
10.3.9.1
Toilet rooms shall be:
i.
Designed and constructed so that they are accessible to staff and separate from any processing and
food handling operations;
ii.
Accessed from the processing area via an airlock vented to the exterior or through an adjoining
room;
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
iii.
Sufficient in number for the maximum number of staff;
iv.
Constructed so that they can be easily cleaned and maintained; and
v.
Kept clean and tidy.
10.3.9.2 Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to
a septic tank or a sewerage system.
10.3.9.3 Hand wash basins shall be provided immediately outside or inside the toilet room and designed as
outlined in 10.3.2.2.
10.3.10
Lunch Rooms
10.3.10.1 Separate lunch room facilities shall be provided away from a product contact/handling zone.
10.3.10.2 Lunch room facilities shall be:
i.
Ventilated and well lit;
ii.
Provided with adequate tables and seating to cater for the maximum number of staff at one sitting;
iii.
Equipped with a sink serviced with hot and cold potable water for washing utensils;
iv.
Equipped with refrigeration and heating facilities enabling them to store or heat food and to prepare
non-alcoholic beverages if required, and
v.
Kept clean and free from waste materials and pests.
10.3.10.3 Signage in appropriate languages advising people to wash their hands before entering the food
processing areas shall be provided in a prominent position in lunch rooms and at lunch room exits.
10.3.11
First Aid
10.3.11.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized care.
10.4
Personnel Processing Practices
10.4.1 Staff Engaged in Product Handling, Processing and Packaging Operations
10.4.1.1 All personnel engaged in any food handling, preparation or processing operations shall ensure that
products and materials are handled and stored in such a way as to prevent damage or product contamination. They
comply with the following processing practices:
i.
Personnel entry to processing areas shall be through the personnel access doors only;
ii.
All doors are to be kept closed. Doors shall not be left open for extended periods when access for
waste removal or receiving of product/ingredient/packaging is required;
iii.
The wearing of false fingernails or fingernail polish is not permitted when handling food;
iv.
Packaging material, products, and ingredients shall be kept in appropriate containers as required and
off the floor;
v.
Waste shall be contained in the bins identified for this purpose and removed from the processing area
on a regular basis and not left to accumulate;
vi.
Staff shall not eat or taste any product being processed in the food handling/contact zone, except as
noted in section 10.4.1.2.
10.4.1.2 In circumstances where it is necessary to undertake sensory evaluations in a product handling/contact
zone, the supplier shall implement proper controls and procedures to ensure:
i.
Food safety is not compromised;
ii.
Sensory evaluations are conducted by authorized personnel;
iii.
A high standard of personal hygiene is practiced by personnel conducting sensory evaluations;
iv.
Sensory evaluations are conducted in areas equipped for the purpose; and
v.
Equipment used for sensory evaluations is sanitized, maintained and stored separate from processing
equipment.
10.4.1.3
10.5
All wash down hoses shall be stored on hose racks after use and not left on the floor.
Water, Ice, and Air Supply
10.5.1
Water Supply
10.5.1.1 Adequate supplies of potable water drawn from a known clean source shall be provided for use during
processing operations, as an ingredient and for cleaning the premises and equipment.
10.5.1.2 Supplies of hot and cold water shall be provided as required to enable the effective cleaning of the
premises and equipment.
10.5.2
Monitoring Water Microbiology and Quality
10.5.2.1
Water used for
i.
Washing and treating food;
ii.
An ingredient or food processing aid;
iii.
Cleaning product contact surfaces;
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
shall comply with national or internationally recognized potable water microbiological and quality standards as
required.
10.5.3
Water Delivery
10.5.3.1
The delivery of water within the premises shall ensure potable water is not contaminated.
10.5.3.2
The use of non-potable water shall be controlled such that:
i. There is no cross contamination between potable and non-potable water lines;
ii. Non-potable water piping and outlets are clearly identified; and
10.5.4
Water Treatment
10.5.4.1 Water treatment methods, equipment and materials shall be designed, installed and operated to ensure
water receives an effective treatment.
10.5.4.2
Water treatment equipment shall be monitored regularly to ensure it remains serviceable.
10.5.4.3
Treated water shall be regularly monitored to ensure it meets the indicators specified.
10.5.5
Ice Supply
10.5.5.1
Ice provided for use during processing operations or as a processing aid or an ingredient shall comply with
10.5.2.1.
10.5.5.2 Ice rooms and receptacles shall be constructed of materials as outlined in elements 10.2.1. 10.2.2, and
10.2.3, and designed to minimize contamination of the ice during storage and distribution.
10.5.6
Analysis
10.5.6.1 Microbiological analysis of the water and ice supply shall be conducted to verify the cleanliness of the
supply, the monitoring activities and the effectiveness of the treatment measures implemented.
10.5.6.2
Water and ice shall be analyzed using reference standards and methods.
10.5.7 Air Quality
10.5.7.1
Compressed air used in the production process shall be clean and present no risk to food safety.
10.5.7.2
Compressed air used in the production process shall be regularly monitored for purity.
10.6
Storage and Transport
10.6.1
Cold Storage, Controlled Atmosphere Storage and Chilling of Foods
10.6.1.1 The supplier shall provide confirmation of the effective operational performance of coolers, controlled
atmosphere facilities, and cool rooms. They shall be:
i.
Designed and constructed to allow for the hygienic and efficient refrigeration and storage of food; and
ii.
Easily accessible for inspection and cleaning.
10.6.1.2 Sufficient refrigeration and controlled atmosphere capacity shall be available to chill or store the
maximum anticipated throughput of products with allowance for periodic cleaning of storage rooms.
10.6.1.3
Discharge from defrost and condensate lines shall be controlled and discharged to the drainage system.
10.6.1.4 Cool and controlled atmosphere rooms shall be fitted with temperature and atmosphere monitoring
equipment and located so as to monitor the warmest part of the room and be fitted with measurement devices that
are easily readable and accessible.
10.6.1.5
Loading and unloading docks shall be designed to protect products during loading and unloading.
10.6.2 Storage of Dry Ingredient, Packaging and Shelf Stable Packaged Goods
10.6.2.1 Rooms used for the storage of product ingredients, packaging, and other dry goods shall be located
away from wet areas and constructed to protect the products from contamination and deterioration.
10.6.2.2 Racks provided for the storage of packaging shall be constructed of impervious materials and designed
to enable cleaning of the floors and the storage room. Storage areas shall be constructed to prevent packaging
from becoming a harborage for pests or vermin.
10.6.2.3 Vehicles used in food contact, handling or processing zones or in cool storage rooms shall be designed
and operated so as not to present a food safety hazard.
10.6.3 Storage of Equipment and Containers
10.6.3.1 Storage rooms shall be designed and constructed to allow for the hygienic and efficient storage of
equipment and containers.
10.6.4 Storage of Hazardous Chemicals and Toxic Substances
10.6.4.1 Hazardous chemicals and toxic substances with the potential for food contamination shall be stored so as
not to present a hazard to staff, product, packaging, product handling equipment or areas in which the product is
handled, stored or transported.
10.6.4.2 Utensils and packaging shall not be stored in areas used to store hazardous chemicals and toxic
substances.
10.6.4.3 Daily supplies of chemical used for continuous sanitizing of water or as a processing aid, or for
emergency cleaning of equipment or surfaces in product contact zones, may be stored within or in close proximity
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
to a processing or packaging area provided access to the chemical storage facility is restricted to authorized
personnel.
10.6.4.4 Pesticides, rodenticides, fumigants and insecticides shall be stored separate from sanitizers and
detergents. All chemicals shall be stored in their original containers.
10.6.4.5
Hazardous chemical and toxic substance storage facilities shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be adequately ventilated;
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of hazardous chemicals and toxic substances;
v.
Have instructions on the safe handling of hazardous chemicals and toxic substances readily
accessible to staff;
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage
facility;
vii.
Have suitable first aid equipment and protective clothing available in close proximity to the storage
area;
viii.
In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
ix.
Be equipped with spillage kits and cleaning equipment.
10.6.5 Alternative Storage and Handling of Goods
10.6.5.1 Where goods described in 10.6.1 to 10.6.4 are held under temporary or overflow conditions that are not
designed for the safe storage of goods, a risk analysis shall be undertaken to ensure there is no risk to the integrity
of those goods or contamination or adverse effect on food safety and quality.
10.6.6 Loading, Transport and Unloading Practices
10.6.6.1 The practices applied during loading, transport and unloading of food shall be documented, implemented
and designed to maintain appropriate storage conditions and product integrity. Products shall be loaded,
transported and unloaded under conditions suitable to prevent cross contamination.
10.6.7 Loading
10.6.7.1 Vehicles (trucks/vans/containers) used for transporting products shall be inspected prior to loading to
ensure they are clean, in good repair, suitable for the purpose and free from odors or other conditions that may
impact negatively on the product.
10.6.7.2 Loading practices shall be designed to minimize unnecessary exposure of product to conditions
detrimental to maintaining product and package integrity.
10.6.8 Transport
10.6.8.1 Refrigerated units shall maintain the product at required temperatures and the unit’s temperature
settings shall be set, checked and recorded before loading and core product temperatures recorded at regular
intervals during loading as appropriate.
10.6.8.2 The refrigeration unit shall be operational at all times and the unit’s operation, the door seals and the
storage temperature checked at regular intervals during transit.
10.6.9 Unloading
10.6.9.1 Prior to opening the doors, the refrigeration unit’s storage temperature settings and operating
temperature shall be checked and recorded. Unloading shall be completed efficiently and product temperatures
shall be recorded at the commencement of unloading and at regular intervals during unloading.
10.6.9.2 Unloading practices shall be designed to minimize unnecessary exposure of products to conditions
detrimental to maintaining the product and package integrity.
10.7
Separation of Functions
10.7.1 Process Flow
10.7.1.1 The process flow shall be designed to prevent cross contamination and organized so there is a
continuous flow of product through the processing and packaging area. The flow of personnel shall be managed
such that the potential for contamination is minimized.
10.7.2 Receipt of Raw and Packaging Materials and Ingredients
10.7.2.1 Dry ingredients and packaging shall be received and stored separately from field product or chilled
materials to ensure there is no cross contamination. Unprocessed field product shall be received and segregated to
ensure there is no cross contamination.
10.7.3 High Risk Processes
10.7.3.1
The processing of high risk food shall be conducted under controlled conditions such that:
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The SQF Code, Edition 7
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
i.
Sensitive areas in which high risk food has undergone a “kill” step, a “food safety intervention” or is
subject to post process handling, are protected/segregated from other processes, raw materials or
staff who handle raw materials to ensure cross contamination is minimized;
ii.
Areas in which high risk processes are conducted are only serviced by staff dedicated to that
function;
iii.
Staff access points are located, designed and equipped to enable staff to wear distinctive protective
clothing and to practice a high standard of personal hygiene to prevent product contamination;
iv.
Product transfer points are located and designed so as not to compromise high risk segregation and
to minimize the risk of cross contamination; and
v.
An environmental monitoring program shall be in place for high risk areas. As a minimum, a written
procedure detailing the applicable pathogens or indicator organisms to test for (for that industry), the
number of samples to be taken, and the frequency of sampling and corrective actions shall be
documented. The responsibility and methods shall be documented and implemented. A sampling
schedule shall be prepared.
10.7.4 Control of Foreign Matter Contamination
10.7.4.1 The responsibility and methods used to prevent foreign matter contamination of products shall be
documented, implemented and communicated to all staff.
10.7.4.2 Inspections shall be performed to ensure plant and equipment remains in good condition and potential
contaminants have not detached or become damaged or deteriorated.
10.7.4.3 The use of temporary fasteners such as string, wire or tape to fix or hold equipment shall not be
permitted.
10.7.4.4 The following preventative measures shall be implemented where applicable to prevent glass
contamination:
i.
All glass objects or similar material in food handling/contact zones shall be listed in a glass register
including details of their location;
ii.
Containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or
other like material (except where product is contained in packaging made from these materials, or
measurement instruments with glass dial covers or MIG thermometers required under regulation)
shall not be permitted in food processing /contact zones;
iii.
Conduct regular inspections of food handling/contact zones to ensure they are free of glass or other
like material and to establish no changes to the condition of the objects listed in the glass register;
and
iv.
Inspect glass instrument dial covers on processing equipment and MIG thermometers at the start
and finish of each shift to confirm they have not been damaged.
10.7.4.5 Wooden pallets, wooden field bins, and other wooden utensils used in food handling/contact zones shall
be dedicated for that purpose. Their condition is subject to regular inspection and shall be clean and maintained in
good order.
10.7.4.6 Loose metal objects on equipment, equipment covers and overhead structures shall be removed or
tightly fixed so as not to present a hazard.
10.7.4.7 Knives and cutting instruments used in processing and packaging operations shall be controlled, kept
clean and well maintained.
10.7.5 Detection of Foreign Objects
10.7.5.1 The responsibility, methods and frequency for monitoring, maintaining, calibrating and using screens,
sieves, filters or other technologies to remove or detect foreign matter shall be documented and implemented.
10.7.5.2 Metal detectors or other physical contaminant detection technologies shall be routinely monitored,
validated and verified for operational effectiveness. The equipment shall be designed to isolate defective products
and indicate when it is rejected.
10.7.5.3 Records shall be maintained of the inspection by foreign object detection devices. These devices need
verification.
10.7.6 Managing Foreign Matter Contamination Incidents
10.7.6.1 In all cases of foreign matter contamination, the affected batch or item shall be isolated, inspected,
reworked or disposed.
10.7.6.2 In circumstances where glass or similar material breakage occurs, the affected area is to be isolated,
cleaned and thoroughly inspected (including cleaning equipment and footwear) and cleared by a suitably
responsible person prior to the commencement of operations.
10.8
On-Site Laboratories
10.8.1.1 On site laboratories shall be located separate from any food processing or handling activity and designed
to limit access only to authorized personnel.
10.8.1.2 Provisions shall be made to isolate and contain all laboratory waste held on the premises and manage it
separately from food waste. Laboratory waste water outlet shall (as a minimum) be down stream of drains that
service food processing and handling areas.
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Module 10: Good Manufacturing Practices for
Pre-processing of Plant Products
10.8.1.3 Signage shall be displayed identifying the laboratory area as a restricted area accessible only by
authorized personnel.
10.9
Waste Disposal
10.9.1
Dry and Liquid Waste Disposal
10.9.1.1 The responsibility and methods used to collect and handle dry, wet and liquid waste and store prior to
removal from the premises shall be documented and implemented.
10.9.1.2 Waste shall be removed on a regular basis and not build up in product handling areas. Designated waste
accumulation areas shall be maintained in a clean and tidy condition until such time as external waste collection is
undertaken.
10.9.1.3 Trolleys, vehicles waste disposal equipment, collection bins and storage areas shall be maintained in a
serviceable condition and cleaned and sanitized regularly so as not to attract pests and other vermin.
10.9.1.4 Adequate provision shall be made for the disposal of all solid processing waste including trimmings,
inedible material and used packaging. Waste held on site prior to disposal shall be stored in a separate storage
facility and suitably fly proofed and contained so as not to present a hazard.
10.9.1.5 Adequate provision shall be made for the disposal of all liquid waste from processing and food handling
areas. Liquid waste shall be either removed from the processing environment continuously or held in a designated
storage area in lidded containers prior to disposal so as not to present a hazard.
10.9.1.6 Reviews of the effectiveness of waste management shall form part of daily hygiene inspections and the
results of these inspections shall be included in the relevant hygiene reports.
10.10 Exterior
10.10.1
Grounds and Roadways
10.10.1.1 The grounds and area surrounding the premises shall be maintained to minimize dust and be kept free
of waste or accumulated debris so as not to attract pests and vermin.
10.10.1.2 Paths, roadways and loading and unloading areas shall be maintained so as not to present a hazard to
the food safety operation of the premises.
10.10.1.3 Surroundings shall be kept neat and tidy and not present a hazard to the hygienic and sanitary
operation of the premises.
10.10.1.4
Paths from amenities leading to facility entrances are required to be effectively sealed.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
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The SQF Code, Edition 7
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Module 11: Good Manufacturing Practices for
Processing of Food Products
Module 11: Food Safety Fundamentals – Good Manufacturing
Practices for Processing of Food Products (GFSI El, Ell, Elll, ElV and
L)
This module covers the Good Manufacturing Practices requirements for the processing of perishable animal
products, perishable plant products, processing of animal and plant perishable products, processing of ambient
stable products, and production of bio-chemicals.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 8:
Processing of manufactured meats and poultry
FSC 9:
Seafood processing (including 9A, 9B, 9C)
FSC 10: Dairy processing
FSC 11: Honey processing
FSC 12: Egg processing
FSC 13: Bakery and snack food processing
FSC 14: Fruit and vegetable processing
FSC 15: Canning, pasteurization, UHT and aseptic operations (includes 15A, 15B)
FSC 16: Ice, drink, and beverage processing
FSC 17: Confectionery manufacturing
FSC 18: Preserved foods manufacture
FSC 19: Food ingredient manufacture
FSC 20: Recipe meals manufacture
FSC 21: Oils, fats and the manufacture of fat-based spreads
FSC 22: Processing of cereals, grains, and nuts
11.1
11.1.1
Site Requirements and Approval
Premises Location
11.1.1.1 The location of the premises shall be such that adjacent and adjoining buildings, operations and land
use do not interfere with safe and hygienic operations.
11.1.1.2 Measures shall be established to maintain a suitable external environment, and the effectiveness of the
established measures shall be monitored and periodically reviewed.
11.1.2
Construction and Operational Approval
11.1.2.1 The construction and ongoing operation of the premises on the site shall be approved by the relevant
authority.
11.2
11.2.1
Construction and Control of Product Handling and Storage Areas
Materials and Surfaces
11.2.1.1 Product contact surfaces and those surfaces not in direct contact with food in food handling areas, raw
material storage, packaging material storage, and cold storage areas shall be constructed of materials that will not
contribute a food safety risk.
11.2.2
Floors, Drains and Waste Traps
11.2.2.1 Floors shall be constructed of smooth, dense impact resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
11.2.2.2 Floors shall be sloped to floor drains at gradients suitable to allow the effective removal of all overflow
or waste water under normal working conditions.
11.2.2.3
Drains shall be constructed and located so they can be easily cleaned and not present a hazard.
11.2.2.4
Waste trap system shall be located away from any food handling area or entrance to the premises.
11.2.3
Walls, Partitions, Doors and Ceilings
11.2.3.1 Walls, partitions, ceilings and doors shall be of durable construction. Internal surfaces shall be smooth
and impervious with a light colored finish, and shall be kept clean (refer to element 11.2.13.1)
11.2.3.2 Wall to wall and wall to floor junctions shall be designed to be easily cleaned and sealed to prevent the
accumulation of food debris.
11.2.3.3 Ducting, conduit and pipes that convey services such as steam or water shall be designed and
constructed so as to allow ease of cleaning.
11.2.3.4 Doors, hatches and windows and their frames shall be of a material and construction which meets the
same functional requirements for internal walls and partitions.
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Module 11: Good Manufacturing Practices for
Processing of Food Products
i.
Doors and hatches shall be of solid construction; and
ii.
Windows shall be made of shatterproof glass or similar material.
11.2.3.5 Food shall be processed and handled in areas that are fitted with a ceiling or other acceptable structure
that is constructed and maintained to prevent the contamination of products.
11.2.3.6
Drop ceilings shall be additionally constructed to enable monitoring for pest activity, facilitate cleaning
and provide access to utilities.
11.2.4 Stairs, Catwalks and Platforms
11.2.4.1 Stairs, catwalks and platforms in food processing and handling areas shall be designed and constructed
so as not to present a product contamination risk, and shall be kept clean (refer to element 11.2.13.1).
11.2.5 Lighting and Light Fittings
11.2.5.1 Lighting in food processing and handling areas and at inspection stations shall be of appropriate
intensity to enable the staff to carry out their tasks efficiently and effectively.
11.2.5.2 Light fittings in processing areas, inspection stations, ingredient and packaging storage areas, and all
areas where the product is exposed shall be shatterproof, manufactured with a shatterproof covering or fitted with
protective covers and recessed into or fitted flush with the ceiling. Where fittings cannot be recessed, structures
must be protected from accidental breakage, manufactured from cleanable materials and addressed in the cleaning
and sanitation program.
11.2.5.3 Light fittings in warehouses and other areas where the product is protected shall be designed such as to
prevent breakage and product contamination.
11.2.6 Inspection Area
11.2.6.1
A suitable area within the processing area shall be provided for the inspection of the product if required.
11.2.6.2 The inspection area shall be provided with facilities that are suitable for examination of the style of
product being processed. The inspection area shall have:
11.2.7
i.
Easy access to hand washing facilities; and
ii.
Sufficient lighting intensity to enable as thorough inspection of the product as required.
Dust, Fly and Vermin Proofing
11.2.7.1 All external windows, ventilation openings, doors and other openings shall be effectively sealed when
closed and proofed against dust, vermin and flies.
11.2.7.2 Personnel access doors shall be provided. They shall be effectively fly-proofed and fitted with a selfclosing device.
11.2.7.3 External doors, including overhead dock doors in food handling areas, used for product, pedestrian or
truck access shall be fly-proofed by at least one or a combination of the following methods:
i.
A self-closing device;
ii.
An effective air curtain;
iii.
A fly-proof screen;
iv.
A fly-proof annex.
v.
Adequate sealing around trucks in docking areas
11.2.7.4 Electric insect control devices, pheromone or other traps and baits shall be located so as not to present
a contamination risk to the product, packaging, containers or processing equipment. Bait shall not be used inside
ingredient or food storage areas or processing areas.
11.2.8 Ventilation
11.2.8.1 Adequate ventilation shall be provided in enclosed processing and food handling areas.
11.2.8.2 Extractor fans and canopies shall be provided in areas where cooking operations are carried out or a
large amount of steam is generated and shall have the following features:
i.
Capture velocities shall be sufficient to prevent condensation build up and to evacuate all heat, fumes
and other aerosols to the exterior via an exhaust hood positioned over cooker;
ii.
Fans and exhaust vents shall be fly proofed and located so as not to pose a contamination risk; and
iii.
Where appropriate, positive air-pressure System shall be installed to prevent airborne contamination.
11.2.9 Premises and Equipment Maintenance
11.2.9.1 The methods and responsibility for the maintenance and repair of plant, equipment and buildings shall
be documented, planned and carried out in a manner that minimizes the risk of product, packaging or equipment
contamination.
11.2.9.2 Maintenance staff and contractors shall observe the following practices when undertaking maintenance
and repairs in any food processing, handling or storage area:
i.
Routine maintenance of plant and equipment shall be performed according to a maintenance-control
schedule and recorded;
ii.
Failures of plant and equipment shall be documented, reviewed and their repair incorporated into the
maintenance control schedule;
iii.
Compliance with the personnel and process hygiene requirements (refer 11.3.1, 11.3.2, 11.3.3,
11.3.4) by maintenance staff and contractors;
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Module 11: Good Manufacturing Practices for
Processing of Food Products
iv.
Ensure facility supervisors are notified when maintenance or repairs are to be undertaken in any food
handling area;
v.
Inform the maintenance supervisor and the facility supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance is to be conducted outside processing times;
vi.
Remove all tools and debris from any maintenance activity once it has been completed and inform
the area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be
completed prior to the commencement of facility operations.
11.2.9.3 The maintenance schedule shall be prepared to cover building, equipment and other areas of the
premises critical to the maintenance of product safety and quality.
11.2.9.4 Equipment located over product or product conveyors shall be lubricated with food grade lubricants and
their use controlled so as to minimize the contamination of the product.
11.2.9.5 Paint used in a food handling or contact zone shall be suitable for use and in good condition and shall not
be used on any product contact surface.
11.2.10
Calibration
11.2.10.1 The methods and responsibility for the calibration and re-calibration of measuring, test and inspection
equipment used for monitoring activities outlined in pre-requisite program, food safety plans and food quality plans
and other process controls, or to demonstrate compliance with customer specifications shall be documented and
implemented.
11.2.10.2 Procedures shall be documented and implemented to address the disposition of potentially affected
products should measuring, test and inspection equipment be found to be out of calibration state.
11.2.10.3 Calibrated measuring, test and inspected equipment shall be protected from damage and unauthorized
adjustment.
11.2.10.4 Equipment shall be calibrated against national or international reference standards and methods or to
accuracy appropriate to its use. In cases where standards are not available, the supplier shall provide evidence to
support the calibration reference method applied.
11.2.10.5 Calibration shall be performed according to regulatory requirements and/or to the equipment
manufacturers recommended schedule.
11.2.10.6
Calibration records shall be maintained.
11.2.11
Management of Pests and Vermin
11.2.11.1 The methods and responsibility for integrated pest management shall be documented and effectively
implemented. The premises, its surrounding areas, storage facilities, machinery and equipment shall be kept free
of waste or accumulated debris so as not to attract pests and vermin.
11.2.11.2
i.
The pest and vermin management program shall:
Describe the methods and responsibility for the development, implementation and maintenance of
the pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the pest elimination methods;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make staff aware of the bait control program and the measures to take
when they come in contact with a bait station;
ix.
Outline the requirements for staff awareness and training in the use of pest and vermin control
chemicals and baits; and
x.
Measure the effectiveness of the program to verify the elimination of applicable pests.
11.2.11.3 Inspections for pest activity shall be undertaken on a regular basis by trained personnel and the
appropriate action taken if pests are present.
11.2.11.4 Records of all pest control applications shall be maintained.
11.2.11.5 Pesticides and other toxic chemicals shall be clearly labeled and stored as described in element 11.6.4
and handled and applied by properly trained personnel. They shall be used by or under the direct supervision of
trained personnel with a thorough understanding of the hazards involved, including the potential for the
contamination of food and food contact surfaces.
11.2.11.6 Pest control contractors shall be:
i.
Licensed and approved by the local relevant authority;
ii.
Use only trained and qualified operators who comply with regulatory requirements;
iii.
Use only approved chemicals;
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Module 11: Good Manufacturing Practices for
Processing of Food Products
iv.
Provide a pest control management plan (see Contract Services 2.3.3) which will include a site map
indicating the location of bait stations and traps;
v.
Report to a responsible authorized person on entering the premises and after the completion of
inspections or treatments; and
vi. Provide a written report of their findings and the inspections and treatments applied.
11.2.11.7 The supplier shall dispose of unused pest control chemicals and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty chemical containers are not reused;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection; and
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
11.2.12
Equipment, Utensils and Protective Clothing
11.2.12.1 Equipment and utensils shall be designed, constructed, installed, operated and maintained so as not to
pose a contamination threat to products.
11.2.12.2 Benches, tables, conveyors, mixers, mincers, graders and other mechanical processing equipment shall
be easily dismantled for cleaning and located so as not pose a hindrance to the cleaning of the premises.
Equipment surfaces shall be smooth, impervious and free from cracks or crevices.
11.2.12.3 Product containers, tubs, bins for edible and inedible material shall be constructed of materials that are
non-toxic, smooth, impervious and readily cleaned. Bins used for inedible material shall be clearly identified.
11.2.12.4 Waste and overflow water from tubs, tanks and other equipment shall be discharged direct to the floor
drainage system.
11.2.12.5 Protective clothing shall be manufactured from material that is not liable to contaminate food and easily
cleaned.
11.2.12.6 Racks shall be provided for the temporary storage of protective clothing when staff leaves the
processing area and shall be provided in close proximity or adjacent to the personnel access doorways and hand
washing facilities.
11.2.13
Cleaning and Sanitation
11.2.13.1 The methods and responsibility for the cleaning of the food handling and processing equipment and
environment, storage areas, staff amenities and toilet facilities shall be documented and implemented.
Consideration shall be given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned;
iv.
Who is responsible for the cleaning;
v.
Methods used to confirm the correct concentrations of detergents and sanitizers, and
vi.
The responsibility and methods used to verify the effectiveness of the cleaning and sanitation
program.
11.2.13.2 Provision shall be made for the effective cleaning of processing equipment, utensils and protective
clothing.
11.2.13.3 Suitably equipped areas shall be designated for cleaning product containers, knives, cutting boards and
other utensils and for cleaning of protective clothing used by staff. These cleaning operations shall be controlled so
as not to interfere with manufacturing operations, equipment or product. Racks and containers for storing cleaned
utensils and protective clothing shall be provided as required.
11.2.13.4 Pre-operational hygiene and sanitation inspections shall be conducted by qualified personnel to ensure
food processing areas, product contact surfaces, equipment, staff amenities and sanitary facilities and other
essential areas are clean before the commencement of production.
11.2.13.5 The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be
documented and implemented. A verification schedule shall be prepared.
11.2.13.6 Detergents and sanitizers shall be suitable for use in a food manufacturing environment, and purchased
in accordance with applicable legislation. The organization shall ensure:
i.
An inventory of all chemicals purchased and used shall be maintained;
ii.
Detergents and sanitizers are stored as outlined in element 11.6.4;
iii.
Material Safety Data Sheets (MSDS) are provided for all detergents and sanitizers purchased; and
iv.
Only trained staff handles sanitizers and detergents.
11.2.13.7 The supplier shall dispose of unused detergents and sanitizers and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty detergent and sanitizer containers are appropriately cleaned, treated and labeled before use;
ii.
Empty detergent and sanitizer containers are labeled, isolated and securely stored while awaiting
collection; and
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Module 11: Good Manufacturing Practices for
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Unused and obsolete detergents and sanitizers are stored under secure conditions while waiting
authorized disposal by an approved vendor.
11.2.13.8 A record of pre-operational hygiene inspections, cleaning and sanitation activities, and verification
activities shall be maintained.
11.3
Personnel Hygiene and Welfare
11.3.1 Personnel
11.3.1.1 Personnel suffering from infectious diseases or are carriers of any infectious disease shall not engage in
product handling or processing operation.
11.3.1.2 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing products or
handling primary packaging materials or food contact surfaces. Minor cuts or abrasions on exposed parts of the
body shall be covered with a colored bandage containing a metal strip or an alternative suitable waterproof and
colored dressing.
11.3.1.3
areas.
Smoking, chewing, eating, drinking or spitting is not permitted in any food processing or food handling
11.3.2
Hand Washing
11.3.2.1 Hand wash basins shall be provided adjacent to all personnel access points and in accessible locations
throughout food handling and processing areas as required.
11.3.2.2 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a
minimum supplied with:
i.
A potable water supply at an appropriate temperature;
ii.
Liquid soap contained within a fixed dispenser;
iii.
Paper towels in a hands free cleanable dispenser; and
iv.
11.3.2.3
A means of containing used paper towels.
The following additional facilities shall be provided in high risk areas:
i.
Hands free operated taps; and
ii.
Hand sanitizers.
11.3.2.4
A sign advising people to wash their hands, and in appropriate languages, shall be provided in a
prominent position.
11.3.2.5
Personnel shall have clean hands and hands shall be washed by all personnel, including staff,
contractors and visitors:
i.
On entering food handling or processing areas;
ii.
After each visit to a toilet;
iii.
After using a handkerchief;
iv.
After smoking, eating or drinking; and
v.
After handling wash down hoses, dropped product or contaminated material.
11.3.2.6
11.3.3
When gloves are used, personnel shall maintain the hand washing practices outlined above.
Clothing
11.3.3.1 Clothing worn by staff engaged in handling food shall be maintained, stored, laundered and worn so as
not to present a contamination risk to products.
11.3.3.2 Staff engaged in high risk areas shall change into clean clothing or don temporary protective outerwear
when entering high risk areas.
11.3.3.3 Clothing shall be clean at the commencement of each shift and maintained in a serviceable condition.
Excessively soiled uniforms shall be changed where they present a product contamination risk.
11.3.3.4 Disposable gloves and aprons shall be changed after each break, upon re-entry into the processing area
and when damaged. Non-disposable aprons and gloves shall be cleaned and sanitized as required and when not in
use stored on racks provided in the processing area and not on packaging, ingredients, product or equipment.
11.3.4 Jewelry and Personal Effects
11.3.4.1 Jewelry and other loose objects shall not be worn or taken into a food handling or processing operation
or any area where food is exposed. The wearing of plain bands with no stones and medical alert bracelets that
cannot be removed can be permitted, however the supplier will need to consider their customer requirements and
the applicable food legislation.
11.3.5 Visitors
11.3.5.1 All visitors, including management and maintenance staff, shall wear suitable clothing and footwear
when entering any food processing or handling area.
11.3.5.2
All visitors shall be required to remove jewelry and other loose objects.
11.3.5.3 Visitors exhibiting visible signs of illness shall be prevented from entering areas in which food is handled
or processed.
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Module 11: Good Manufacturing Practices for
Processing of Food Products
11.3.5.4 Visitors shall enter and exit food handling areas through the proper staff entrance points and comply
with all hand washing and personnel practice requirements.
11.3.6 Staff Amenities
11.3.6.1 Staff amenities supplied with appropriate lighting and ventilation shall be made available for the use of
all persons engaged in the handling and processing of product.
11.3.7 Change Rooms
11.3.7.1 Facilities shall be provided to enable staff and visitors to change into and out of protective clothing as
required.
11.3.7.2 Change rooms shall be provided for staff engaged in the processing of high risk foods or processing
operations in which clothing can be soiled.
11.3.7.3 Provision shall be made for staff to store their street clothing and personal items separate from food
contact zones and food and packaging storage areas.
11.3.7.4
Where required, a sufficient number of showers shall be provided for use by staff.
11.3.8 Laundry
11.3.8.1 Provision shall be made for the laundering and storage of clothing worn by staff engaged in high risk
processes and for staff engaged in processing operations in which clothing can be heavily soiled.
11.3.9 Sanitary Facilities
11.3.9.1 Toilet rooms shall be:
i.
Designed and constructed so that they are accessible to staff and separate from any processing and
food handling operations;
ii.
Accessed from the processing area via an airlock vented to the exterior or through an adjoining room;
iii.
Sufficient in number for the maximum number of staff;
iv.
Constructed so that they can be easily cleaned and maintained; and
v.
Kept clean and tidy.
11.3.9.2 Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to
a septic tank or a sewerage system.
11.3.9.3 Hand wash basins shall be provided immediately outside or inside the toilet room and designed as
outlined in 11.3.2.2.
11.3.10
Lunch Rooms
11.3.10.1
Separate lunch room facilities shall be provided away from a food contact/handling zone.
11.3.10.2
Lunch room facilities shall be:
i.
Ventilated and well lit;
ii.
Provided with adequate tables and seating to cater for the maximum number of staff at one sitting;
iii.
Equipped with a sink serviced with hot and cold potable water for washing utensils;
iv.
Equipped with refrigeration and heating facilities enabling them to store or heat food and to prepare
non-alcoholic beverages if required, and
v.
Kept clean and free from waste materials and pests.
11.3.10.3 Signage in appropriate languages advising people to wash their hands before entering the food
processing areas shall be provided in a prominent position in lunch rooms and at lunch room exits.
11.3.11
First Aid
11.3.11.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized care.
11.4
Personnel Processing Practices
11.4.1 Staff Engaged in Food Handling and Processing Operations
11.4.1.1 All personnel engaged in any food handling, preparation or processing operations shall ensure that
products and materials are handled and stored in such a way as to prevent damage or product contamination. They
shall comply with the following processing practices:
i.
Personnel entry to processing areas shall be through the personnel access doors only;
ii.
All doors are to be kept closed. Doors shall not be left open for extended periods when access for
waste removal or receiving of product/ingredient/packaging is required;
iii.
The wearing of false fingernails or fingernail polish is not permitted when handling food;
iv.
Packaging material, product, and ingredients shall be kept in appropriate containers as required and
off the floor;
v.
Waste shall be contained in the bins identified for this purpose and removed from the processing area
on a regular basis and not left to accumulate;
vi.
Staff shall not eat or taste any product being processed in the food handling/contact zone, except as
noted in section 11.4.1.2.
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Module 11: Good Manufacturing Practices for
Processing of Food Products
11.4.1.2 In circumstances where it is necessary to undertake sensory evaluations in a food handling/contact zone
the supplier shall implement proper controls and procedures to ensure:
i.
Food safety is not compromised;
ii.
Sensory evaluations are conducted by authorized personnel;
iii.
A high standard of personal hygiene is practiced by personnel conducting sensory evaluations;
iv.
Sensory evaluations are conducted in areas equipped for the purpose; and
v.
Equipment used for sensory evaluations is sanitized, maintained and stored separate from processing
equipment.
11.4.1.3
11.5
All wash down hoses shall be stored on hose racks after use and not left on the floor.
Water, Ice and Air Supply
11.5.1
Water Supply
11.5.1.1 Adequate supplies of potable water drawn from a known clean source shall be provided for use during
processing operations, as an ingredient and for cleaning the premises and equipment.
11.5.1.2 Supplies of hot and cold water shall be provided as required to enable the effective cleaning of the
premises and equipment.
11.5.2
Monitoring Water Microbiology and Quality
11.5.2.1
Water used for
i.
washing, thawing and treating food;
ii.
an ingredient or food processing aid;
iii.
cleaning food contact surfaces;
iv.
the manufacture of ice; and
v.
the manufacture of steam that will come in contact with food or used to heat water that will come in
contact with food
shall comply with national or internationally recognized potable water microbiological and quality standards as
required.
11.5.3 Water Delivery
11.5.3.1
The delivery of water within the premises shall ensure potable water is not contaminated.
11.5.3.2
The use of non-potable water shall be controlled such that:
i.
There is no cross contamination between potable and non-potable water lines;
ii.
11.5.4
Non-potable water piping and outlets are clearly identified.
Water Treatment
11.5.4.1 Water treatment methods, equipment and materials shall be designed, installed and operated to ensure
water receives an effective treatment.
11.5.4.2
Water treatment equipment shall be monitored regularly to ensure it remains serviceable.
11.5.4.3
Treated water shall be regularly monitored to ensure it meets the indicators specified.
11.5.5
Ice Supply
11.5.5.1 Ice provided for use during processing operations or as a processing aid or an ingredient shall comply
with 11.5.2.1.
11.5.5.2 Ice rooms and receptacles shall be constructed of materials as outlined in elements 11.2.1, 11.2.2 and
11.2.3 and designed to minimize contamination of the ice during storage and distribution.
11.5.6
Analysis
11.5.6.1 Microbiological analysis of the water and ice supply shall be conducted to verify the cleanliness of the
supply, the monitoring activities and the effectiveness of the treatment measures implemented.
11.5.6.2
Water and ice shall be analyzed using reference standards and methods.
11.5.7 Air Quality
11.5.7.1
Compressed air used in the manufacturing process shall be clean and present no risk to food safety;
11.5.7.2
Compressed air used in the manufacturing process shall be regularly monitored for purity.
11.6
Storage and Transport
11.6.1 Cold Storage, Freezing and Chilling of Foods
11.6.1.1 The supplier shall provide confirmation of the effective operational performance of freezing, chilling and
cold storage facilities. Chillers, blast freezers and cold storage rooms shall be:
i. Designed and constructed to allow for the hygienic and efficient refrigeration of food; and
ii. Easily accessible for inspection and cleaning.
11.6.1.2 Sufficient refrigeration capacity shall be available to chill, freeze, store chilled or store frozen the
maximum anticipated throughput of product with allowance for periodic cleaning of refrigerated areas.
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Module 11: Good Manufacturing Practices for
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Discharge from defrost and condensate lines shall be controlled and discharged to the drainage system.
11.6.1.4 Freezing, chilling and cold storage rooms shall be fitted with temperature monitoring equipment and
located so as to monitor the warmest part of the room and be fitted with a temperature measurement device that
is easily readable and accessible.
11.6.1.5
Loading and unloading docks shall be designed to protect the product during loading and unloading.
11.6.2 Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods
11.6.2.1 Rooms used for the storage of product ingredients, packaging, and other dry goods shall be located
away from wet areas and constructed to protect the product from contamination and deterioration.
11.6.2.2 Racks provided for the storage of packaging shall be constructed of impervious materials and designed
to enable cleaning of the floors and the storage room. Storage areas shall be constructed to prevent packaging
from becoming a harborage for pests or vermin.
11.6.2.3 Vehicles used in food contact, handling or processing zones or in cold storage rooms shall be designed
and operated so as not to present a food safety hazard.
11.6.3 Storage of Equipment and Containers
11.6.3.1 Storage rooms shall be designed and constructed to allow for the hygienic and efficient storage of
equipment and containers.
11.6.4
Storage of Hazardous Chemicals and Toxic Substances
11.6.4.1 Hazardous chemicals and toxic substances with the potential for food contamination shall be stored so as
not to present a hazard to staff, product, packaging, product handling equipment or areas in which the product is
handled, stored or transported.
11.6.4.2 Processing utensils and packaging shall not be stored in areas used to store hazardous chemicals and
toxic substances.
11.6.4.3 Daily supplies of chemical used for continuous sanitizing of water or as a processing aid, or for
emergency cleaning of food processing equipment or surfaces in food contact zones, may be stored within or in
close proximity to a processing area provided access to the chemical storage facility is restricted to authorized
personnel.
11.6.4.4 Pesticides, rodenticides, fumigants and insecticides shall be stored separate from sanitizers and
detergents. All chemicals shall be stored in their original containers.
11.6.4.5
Hazardous chemical and toxic substance storage facilities shall:
i.
Be compliant with national and local legislation and designed such that there is no crosscontamination between chemicals;
ii.
Be adequately ventilated;
iii.
Be provided with appropriate signage indicating the area is a hazardous storage area;
iv.
Be secure and lockable to restrict access only to those personnel with formal training in the handling
and use of hazardous chemicals and toxic substances;
v.
Have instructions on the safe handling of hazardous chemicals and toxic substances readily accessible
to staff;
vi.
Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage facility;
vii. Have suitable first aid equipment and protective clothing available in close proximity to the storage
area;
viii. In the event of a hazardous spill, be designed such that spillage and drainage from the area is
contained; and
ix.
Be equipped with spillage kits and cleaning equipment.
11.6.5 Alternative Storage and Handling of Goods
11.6.5.1 Where goods described in 11.6.1 to 11.6.4 are held under temporary or overflow conditions that are not
designed for the safe storage of goods, a risk analysis shall be undertaken to ensure there is no risk to the integrity
of those goods or contamination or adverse effect on food safety and quality.
11.6.6 Loading, Transport and Unloading Practices
11.6.6.1 The practices applied during loading, transport and unloading of food shall be documented, implemented
and designed to maintain appropriate storage conditions and product integrity. Foods shall be loaded, transported
and unloaded under conditions suitable to prevent cross contamination.
11.6.7 Loading
11.6.7.1 Vehicles (trucks/vans/containers) used for transporting food shall be inspected prior to loading to ensure
they are clean, in good repair, suitable for the purpose and free from odors or other conditions that may impact
negatively on the product.
11.6.7.2 Loading practices shall be designed to minimize unnecessary exposure of the product to conditions
detrimental to maintaining the product and package integrity.
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11.6.8 Transport
11.6.8.1 Refrigerated units shall maintain the food at required temperatures and the unit’s temperature settings
shall be set, checked and recorded before loading and core product temperatures recorded at regular intervals
during loading as appropriate.
11.6.8.2 The refrigeration unit shall be operational at all times and checks completed of the unit’s operation, the
door seals and the storage temperature checked at regular intervals during transit.
11.6.9 Unloading
11.6.9.1 Prior to opening the doors, the refrigeration unit’s storage temperature settings and operating
temperature shall be checked and recorded. Unloading shall be completed efficiently and product temperatures
shall be recorded at the commencement of unloading and at regular intervals during unloading.
11.6.9.2 Unloading practices shall be designed to minimize unnecessary exposure of the product to conditions
detrimental to maintaining the product and package integrity.
11.7
Separation of Functions
11.7.1
Process Flow
11.7.1.1 The process flow shall be designed to prevent cross contamination and organized so there is a
continuous flow of product through the process. The flow of personnel shall be managed such that the potential for
contamination is minimized.
11.7.2
Receipt of Raw and Packaging Materials and Ingredients
11.7.2.1 Dry ingredients and packaging shall be received and stored separately from frozen and chilled raw
materials to ensure there is no cross contamination. Unprocessed raw materials shall be received and segregated
to ensure there is no cross contamination.
11.7.3
Thawing of Product
11.7.3.1
Thawing of the product shall be undertaken in equipment and rooms appropriate for the purpose.
11.7.3.2 Equipment for water thawing shall be continuous flow to ensure the water exchange rate and
temperature does not contribute to product deterioration or contamination. Water overflow shall be directed into
the floor drainage system and not onto the floor.
11.7.3.3 Air thawing facilities shall be designed to thaw the product under controlled conditions at a rate and
temperature that does not contribute to product deterioration or contamination.
11.7.3.4 Provision is to be made for the containment and regular disposal of used cartons and packaging from
thawed product so that there is no risk to the product.
11.7.4 High Risk Processes
11.7.4.1
The processing of high risk food shall be conducted under controlled conditions such that:
i.
Sensitive areas in which high risk food has undergone a “kill” step, a “food safety intervention” or is
subject to post process handling, are protected/segregated from other processes, raw materials or
staff who handle raw materials to ensure cross contamination is minimized;
ii.
Areas in which high risk processes are conducted are only serviced by staff dedicated to that function;
iii.
Staff access points are located, designed and equipped to enable staff to don distinctive protective
clothing and to practice a high standard of personal hygiene to prevent product contamination;
iv.
Product transfer points are located and designed so as not to compromise high risk segregation and
to minimize the risk of cross contamination; and
v.
An environmental monitoring program shall be in place for high risk areas. At a minimum, a written
procedure detailing the applicable pathogens or indicator organisms to test for that industry, the
number of samples to be taken and the frequency of sampling and corrective actions shall be
documented. The responsibility and methods shall be documented and implemented. A sampling
schedule shall be prepared.
11.7.5 Control of Foreign Matter Contamination
11.7.5.1 The responsibility and methods used to prevent foreign matter contamination of the product shall be
documented, implemented and communicated to all staff.
11.7.5.2 Inspections shall be performed to ensure plant and equipment remains in good condition and potential
contaminants have not detached or become damaged or deteriorated.
11.7.5.3 The use of temporary fasteners such as string, wire or tape to fix or hold equipment shall not be
permitted.
11.7.5.4 The following preventative measures shall be implemented where applicable to prevent glass
contamination:
i.
All glass objects or similar material in food handling/contact zones shall be listed in a glass register
including details of their location;
ii.
Containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or
other like material (except where the product is contained in packaging made from these materials, or
measurement instruments with glass dial covers or MIG thermometers required under regulation)
shall not be permitted in food processing /contact zones;
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Processing of Food Products
iii.
Conduct regular inspections of food handling/contact zones to ensure they are free of glass or other
like material and to establish no changes to the condition of the objects listed in the glass register;
and
iv.
Inspect glass instrument dial covers on processing equipment and MIG thermometers at the start and
finish of each shift to confirm they have not been damaged.
11.7.5.5 Wooden pallets and other wooden utensils used in food handling/contact zones shall be dedicated for
that purpose, clean, maintained in good order. Their condition is subject to regular inspection.
11.7.5.6 Loose metal objects on equipment, equipment covers and overhead structures shall be removed or
tightly fixed so as not to present a hazard.
11.7.5.7 Knives and cutting instruments used in processing and packaging operations shall be controlled, and
kept clean and well maintained.
11.7.6
Detection of Foreign Objects
11.7.6.1 The responsibility, methods and frequency for monitoring, maintaining, calibrating and using screens,
sieves, filters or other technologies to remove or detect foreign matter shall be documented and implemented.
11.7.6.2 Metal detectors or other physical contaminant detection technologies shall be routinely monitored,
validated and verified for operational effectiveness. The equipment shall be designed to isolate defective product
and indicate when it is rejected.
11.7.6.3
Records shall be maintained of the inspection by foreign object detection devices, and their verification.
11.7.7 Managing Foreign Matter Contamination Incidents
11.7.7.1 In all cases of foreign matter contamination the affected batch or item shall be isolated, inspected,
reworked or disposed of.
11.7.7.2 In circumstances where glass or similar material breakage occurs, the affected area is to be isolated,
cleaned and thoroughly inspected (including cleaning equipment and footwear) and cleared by a suitably
responsible person prior to the commencement of operations.
11.8
On-Site Laboratories
11.8.1 Location
11.8.1.1 On site laboratories shall be located separate from any food processing or handling activity and designed
to limit access only to authorized personnel.
11.8.1.2 Provisions shall be made to isolate and contain all laboratory waste held on the premises and manage it
separately from food waste. Laboratory waste water outlet shall as a minimum be down stream of drains that
service food processing and handling areas.
11.8.1.3 Signage shall be displayed identifying the laboratory area as a restricted area accessible only by
authorized personnel.
11.9
Waste Disposal
11.9.1 Dry and Liquid Waste Disposal
11.9.1.1 The responsibility and methods used to collect and handle dry, wet and liquid waste and store prior to
removal from the premises shall be documented and implemented.
11.9.1.2 Waste shall be removed on a regular basis and not build up in food handling or processing areas.
Designated waste accumulation areas shall be maintained in a clean and tidy condition until such time as external
waste collection is undertaken.
11.9.1.3 Trolleys, vehicles waste disposal equipment, collection bins and storage areas shall be maintained in a
serviceable condition and cleaned and sanitized regularly so as not to attract pests and other vermin.
11.9.1.4 Adequate provision shall be made for the disposal of all solid processing waste including trimmings,
inedible material and used packaging. Waste held on site prior to disposal shall be stored in a separate storage
facility and suitably fly proofed and contained so as not to present a hazard.
11.9.1.5 Adequate provision shall be made for the disposal of all liquid waste from processing and food handling
areas. Liquid waste shall be either removed from the processing environment continuously or held in a designated
storage area in lidded containers prior to disposal so as not to present a hazard.
11.9.1.6 Reviews of the effectiveness of waste management will form part of daily hygiene inspections and the
results of these inspections shall be included in the relevant hygiene reports.
11.10 Exterior
11.10.1
Grounds and Roadways
11.10.1.1 The grounds and area surrounding the premises shall be maintained to minimize dust and be kept free
of waste or accumulated debris so as not to attract pests and vermin.
11.10.1.2 Paths, roadways and loading and unloading areas shall be maintained so as not to present a hazard to
the food safety operation of the premises.
11.10.1.3 Surroundings shall be kept neat and tidy and not present a hazard to the hygienic and sanitary
operation of the premises.
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11.10.1.4 Paths from amenities leading to facility entrances are required to be effectively sealed.
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Module 12: Good Manufacturing Practices
for Transport and Distribution of Food
Products
Module 12: Food Safety Fundamentals – Good Distribution Practices
for Transport and Distribution of Food Products (GFSI Jl, and Jll)
This module covers the Good Distribution Practice requirements for the transport and storage of perishable and
non-perishable food and feed products.
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Module 12 is for distribution facilities that do not process or repackage. Those facilities that process food such as
slicing, dicing, relabeling, and repackaging of products (i.e. a case of cucumbers that is received and repackaged
and relabeled into smaller cases) must use the applicable module (i.e. module 10).
Applicable food sector categories (FSCs) are:
FSC 25: Fresh produce wholesaling and distribution
FSC 26: Food wholesaling and distribution
12.1
12.1.1
Site Requirements and Approval
Premises Location
12.1.1.1 The location of the premises shall be such that adjacent and adjoining buildings, operations and land
use do not interfere with safe and hygienic operations.
12.1.2
Construction and Operational Approval
The construction and ongoing operation of the premises on the site shall be approved by the relevant authority.
12.2
12.2.1
Construction and Control of Product Handling and Storage Areas
Materials and Surfaces
In warehouses where food products are recouped or exposed, product contact surfaces shall be constructed of
materials that will not contribute a food safety risk.
12.2.2
Floors, Drains and Waste Traps
12.2.2.1 Floors shall be constructed of smooth, dense impact resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
12.2.2.2
Drains shall be constructed and located so they can be easily cleaned and not present a hazard.
12.2.3
Walls, Partitions, Doors and Ceilings
12.2.3.1 Walls, partitions, ceilings and doors shall be of durable construction. Internal surfaces shall be smooth
and impervious, and shall be kept clean (refer 12.2.11.1)
12.2.3.2 Wall to wall and wall to floor junctions shall be designed to be easily cleaned and sealed to prevent the
accumulation of food debris.
12.2.3.3
material.
Doors shall be of solid construction; and windows shall be made of shatterproof glass or similar
12.2.4
Lighting and Light Fittings
12.2.4.1 Lighting in warehouses where food product is recouped or exposed shall be of appropriate intensity to
enable the staff to carry out their tasks efficiently and effectively.
12.2.4.2 Light fittings in areas where food product is recouped or exposed shall be shatterproof, manufactured
with a shatterproof covering or fitted with protective covers and recessed into or fitted flush with the ceiling.
12.2.4.3 Light fittings in other areas where product is protected shall be designed such as to prevent breakage
and product contamination.
12.2.5
Dust, Fly and Vermin Proofing
12.2.5.1 All external windows, ventilation openings, doors and other openings shall be effectively sealed when
closed and proofed against dust, vermin and flies.
12.2.5.2 Personnel access doors shall be provided. They shall be effectively fly-proofed and fitted with a selfclosing device.
12.2.5.3 External doors, including overhead dock doors, used for product, pedestrian or truck access shall be flyproofed by at least one or a combination of the following methods:
i.
A self-closing device;
ii.
An effective air curtain;
iii.
A fly-proof screen; and
iv.
A fly-proof annex.
v.
Adequate sealing around trucks in docking areas
12.2.5.4 Electric insect control devices, pheromone or other traps and baits shall be located so as not to present a
contamination risk to product, packaging, containers or processing equipment.
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for Transport and Distribution of Food
Products
12.2.6 Ventilation
12.2.6.1
Adequate ventilation shall be provided in enclosed storage and food handling areas.
12.2.7 Premises and Equipment Maintenance
12.2.7.1 The methods and responsibility for the maintenance and repair of food storage areas, equipment and
buildings shall be documented planned and carried out in a manner that minimizes the risk of product, packaging or
equipment contamination.
12.2.7.2 Maintenance staff and contractors shall observe the following practices when undertaking maintenance
and repairs in any handling or storage area:
i.
Routine maintenance of food storage areas and equipment shall be performed according to a
maintenance-control schedule and recorded;
ii.
Failures of facility and equipment shall be documented, reviewed and their repair incorporated into
the maintenance control schedule;
iii.
Compliance with the personnel and process hygiene requirements (refer 12.3.1, 12.3.2, 12.3.3,
12.3.4) by maintenance staff and contractors;
iv.
Ensure warehouse supervisors are notified when maintenance or repairs are to be undertaken in any
food handling area;
v.
Inform the maintenance supervisor and the facility supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance is to be conducted outside processing times;
vi.
Remove all tools and debris from any maintenance activity once it has been completed and inform the
area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be completed
prior to the commencement of facility operations.
12.2.7.3 The maintenance schedule shall be prepared to cover building, equipment and other areas of the
premises critical to the maintenance of product safety and quality.
12.2.7.4 Equipment located over exposed product or product conveyors shall be lubricated with food grade
lubricants and their use controlled so as to minimize the contamination of product.
12.2.7.5 Paint used in a food handling or contact zone shall be suitable for use and in good condition and shall not
be used on any product contact surface.
12.2.8
Calibration
12.2.8.1 The methods and responsibility for the calibration and re-calibration of measuring, test and inspection
equipment used for monitoring activities outlined in the pre-requisite program, food safety plans and food quality
plans and other process controls, or to demonstrate compliance with customer specifications shall be documented
and implemented.
12.2.8.2 Procedures shall be documented and implemented to address the disposition of potentially affected
product should measuring, test and inspection equipment be found to be out of calibration state.
12.2.8.3 Calibrated measuring, test and inspected equipment shall be protected from damage and unauthorized
adjustment.
12.2.8.4 Equipment shall be calibrated against national or international reference standards and methods or to
accuracy appropriate to its use. In cases where standards are not available, the supplier shall provide evidence to
support the calibration reference method applied.
12.2.8.5 Calibration shall be performed according to regulatory requirements and/or to the equipment
manufacturers recommended schedule.
12.2.8.6
Calibration records shall be maintained.
12.2.9
Management of Pests and Vermin
12.2.9.1 The methods and responsibility for integrated pest management shall be documented and effectively
implemented. The premises, its surrounds, storage facilities, machinery and equipment shall be kept free of waste
or accumulated debris so as not to attract pests and vermin.
12.2.9.2
The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of the
pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the pest elimination methods;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make staff aware of the bait control program and the measures to take
when they come in contact with a bait station;
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for Transport and Distribution of Food
Products
ix.
Outline the requirements for staff awareness and training in the use of pest and vermin control
chemicals and baits; and
x.
Measure the effectiveness of the program to verify the elimination of applicable pests.
12.2.9.3 Inspections for pest activity shall be undertaken on a regular basis by trained personnel and the
appropriate action taken if pests are present.
12.2.9.4
Records of all pest control applications shall be maintained.
12.2.9.5 Pesticides and other toxic chemicals shall be clearly labeled and stored as described in element 12.5.4
and handled and applied by properly trained personnel. They shall be used by or under the direct supervision of
trained personnel with a thorough understanding of the hazards involved, including the potential for the
contamination of food and food contact surfaces.
12.2.9.6
Pest control contractors shall be:
i.
Licensed and approved by the local relevant authority;
ii.
Use only trained and qualified operators who comply with regulatory requirements;
iii.
Use only approved chemicals;
iv.
Provide a pest control management plan (see Contract Services 2.3.3) which will include a site map
indicating the location of bait stations and traps;
v.
Report to a responsible senior management person on entering the premises and after the completion
of inspections or treatments; and
vi.
Provide a written report of their findings and the inspections and treatments applied.
12.2.9.4 The supplier shall dispose of unused pest control chemicals and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty chemical containers are not reused;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection; and
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
12.2.10
Equipment, Utensils and Protective Clothing
12.2.10.1 Equipment and utensils shall be designed, constructed, installed, operated and maintained so as not to
pose a contamination threat to the product.
12.2.10.2 Protective clothing in areas where food product is recouped or exposed shall be manufactured from
material that is not liable to contaminate food and easily cleaned.
12.2.10.3 In areas where food product is recouped or exposed, racks shall be provided for the temporary storage
of protective clothing when staff leaves the processing area and shall be provided in close proximity or adjacent to
the personnel access doorways and hand washing facilities.
12.2.11
Cleaning and Sanitation
12.2.11.1 The methods and responsibility for the cleaning of the food handling and storage areas, staff amenities
and toilet facilities shall be documented and implemented. Consideration shall be given to:
i.
What is to be cleaned;
ii.
How it is to be cleaned;
iii.
When it is to be cleaned;
iv.
Who is responsible for the cleaning; and
v.
The responsibility and methods used to verify the effectiveness of the cleaning and sanitation
program.
12.2.11.2 Provision shall be made for the effective cleaning of equipment, utensils and protective clothing.
12.2.11.3 Suitably equipped areas shall be designated for cleaning product containers, utensils and protective
clothing that are used by cleaning staff in cleaning, sanitizing, and maintaining the facility. Racks and containers
for storing cleaned utensils and protective clothing shall be provided as required.
12.2.11.4 Pre-operational hygiene and sanitation inspections shall be conducted by qualified personnel to ensure
food handling and storage areas, staff amenities and sanitary facilities and other essential areas are clean
12.2.11.5 The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be
documented and implemented. A verification schedule shall be prepared.
12.2.11.6 Detergents and sanitizers that are used to clean, sanitize and maintain the facility shall be purchased in
accordance with applicable legislation. The organization shall ensure:
i.
An inventory of all chemicals purchased and used shall be maintained;
ii.
Detergents and chemicals are stored as outlined in 12.5.4;
iii.
Material safety data sheets (MSDS) are provided for all detergents and sanitizers purchased; and
iv.
Only trained staff handles sanitizers and detergents.
12.2.11.7 The supplier shall dispose of unused detergents and sanitizers and empty containers in accordance with
regulatory requirements and ensure that:
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Module 12: Good Manufacturing Practices
for Transport and Distribution of Food
Products
i.
Empty detergent and sanitizer containers are appropriately cleaned, treated and labeled before use;
ii.
Empty detergent and sanitizer containers are labeled, isolated and securely stored while awaiting
collection; and
iii.
Unused and obsolete detergents and sanitizers are stored under secure conditions while waiting
authorized disposal by an approved vendor.
12.2.11.8 A record of pre-operational hygiene inspections, cleaning and sanitation activities, and verification
activities shall be maintained.
12.3
Personnel Hygiene and Welfare
12.3.1 Personnel
12.3.1.1 Personnel suffering from infectious diseases or are carriers of, any infectious disease are not permitted
to work in the distribution center or in the transportation of food, and shall not engage in food handling operations,
or be permitted access to storage areas where the product is exposed.
12.3.1.2 Personnel with exposed cuts, sores or lesions shall not be engaged in handling exposed product or
handling packaging materials or food contact surfaces. Minor cuts or abrasions on exposed parts of the body shall
be covered with colored bandage, or an alternative suitable waterproof and colored dressing.
12.3.1.3 Smoking, chewing, eating, drinking or spitting is not permitted in any food handling or storage areas
where the product is exposed.
12.3.2 Hand Washing
12.3.2.1
Hand wash basins shall be provided, and in accessible locations throughout the facility as required.
12.3.2.2 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a
minimum supplied with:
i.
A potable water supply at an appropriate temperature;
ii.
Liquid soap contained within a fixed dispenser;
iii.
Paper towels or effective hand dryer; and
iv.
A means of containing used paper towels.
12.3.2.3 A sign advising people to wash their hands, and in appropriate languages, shall be provided in a
prominent position adjacent to hand wash stations.
12.3.2.4 Personnel shall have clean hands and hands shall be washed by all personnel, including staff,
contractors and visitors:
i.
After each visit to a toilet;
ii.
After smoking, eating or drinking; and
iii.
After handling wash down hoses or contaminated material.
12.3.2.5
When gloves are used, personnel shall maintain the hand washing practices outlined above.
12.3.3
Clothing
12.3.3.1 Clothing worn by staff engaged in handling food shall be maintained, stored, laundered and worn so as
not to present a contamination risk to product.
12.3.3.2
Clothing shall be clean at the commencement of each shift and maintained in a serviceable condition.
12.3.4 Jewelry and Personal Effects
12.3.4.1 Jewelry and other loose objects shall not be worn or taken into a food handling area or any area where
food is recouped. The wearing of plain bands with no stones and medical alert bracelets that cannot be removed
can be permitted, however the supplier will need to consider their customer requirements and the applicable food
legislation.
12.3.5 Visitors
12.3.5.1 All visitors, including management and maintenance staff, shall wear suitable clothing and footwear
when entering any food handling area.
12.3.5.2
All visitors shall be required to remove jewelry and other loose objects.
12.3.5.3 Visitors exhibiting visible signs of illness shall be prevented from entering areas in which food is handled
or exposed.
12.3.5.4 Visitors shall enter and exit food handling areas through the proper staff entrance points and comply
with all hand washing and personal practice requirements.
12.3.6 Staff Amenities
12.3.6.1 Staff amenities supplied with appropriate lighting and ventilation shall be made available for the use of
all persons engaged in the handling and processing of product.
12.3.7
Change Rooms
12.3.7.1 Facilities shall be provided to enable staff and visitors to change into and out of protective clothing as
required.
12.3.7.2 Provision shall be made for staff to store their street clothing and personal items separate from food
contact zones and food and packaging storage areas.
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12.3.8
Module 12: Good Manufacturing Practices
for Transport and Distribution of Food
Products
Sanitary Facilities
12.3.8.1
Toilet rooms shall be:
i.
Designed and constructed so that they are accessible to staff and separate from any food handling
operations;
ii.
Accessed from the warehouse or product handling area via an airlock vented to the exterior or
through an adjoining room;
iii.
Sufficient in number for the maximum number of staff;
iv.
Constructed so that they can be easily cleaned and maintained; and
v.
Kept clean and tidy.
12.3.8.2 Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to
a septic tank or a sewerage system. Procedure shall be documented and implemented to properly manage sewage
back-ups in order to minimize the potential for contamination.
12.3.8.4 Hand wash basins shall be provided immediately outside or inside the toilet room and designed as
outlined in 12.3.2.2.
12.3.9
Lunch Rooms
12.3.9.1 Separate lunch room facilities shall be provided away from a food handling or storage areas.
rooms shall be kept clean and tidy and free from waste materials and pests.
Lunch
12.3.9.2 Signage in appropriate languages advising people to wash their hands before entering the food
processing areas shall be provided in a prominent position in lunch rooms and at lunch room exits.
12.3.10
First Aid
12.3.10.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized care.
12.4
Personnel Processing Practices
12.4.1 Staff Engaged in Food Handling Operations
12.4.1.1
All personnel engaged in the direct handling of exposed food shall comply with the following practices:
i.
Personnel entry to food handling areas shall be through the personnel access doors only;
ii.
All doors are to be kept closed. Doors shall not be left open for extended periods when access for
waste removal or stock transfer;
iii.
The wearing of false fingernails or fingernail polish is not permitted when handling food;
iv.
Packaging material, product, and ingredients shall be kept in appropriate containers as required and
off the floor;
v.
Waste shall be contained in the bins identified for this purpose and removed from the processing area
on a regular basis and not left to accumulate;
vi.
Staff shall not eat or taste any product being processed in the food handling/contact zone.
12.4.1.2 All personnel engaged in storage, transport and handling of packaged products and materials shall
ensure that products and materials are handled and stored in such a way as to prevent damage or product
contamination.
12.5
Storage and Transport
12.5.1 Cold and Chilled Storage
12.5.1.1 The supplier shall provide confirmation of the effective operational performance of cold and chilled
storage facilities. Cold and chilled storage rooms shall be:
i.
Designed and constructed to allow for the hygienic and efficient refrigeration of food; and
ii.
Easily accessible for inspection and cleaning.
12.5.1.2 Sufficient refrigeration capacity shall be available to store chilled or frozen food at the maximum
anticipated throughput of product with allowance for periodic cleaning of refrigerated areas.
12.5.1.3
Discharge from defrost and condensate lines shall be controlled and discharged to the drainage system.
12.5.1.4 Cold and chilled storage rooms shall be fitted with temperature monitoring equipment and located so as
to monitor the warmest part of the room and be fitted with a temperature measurement device that is easily
readable and accessible.
12.5.1.5
Loading and unloading docks shall be designed to protect product during loading and unloading.
12.5.2 Storage of Shelf Stable Packaged Goods
12.5.2.1 Rooms used for the storage of dry goods shall be located away from wet areas and constructed to
protect the product from contamination and deterioration.
12.5.2.2 Racks provided for the storage of food Products shall be constructed of impervious materials and
designed to enable cleaning of the floors and the storage room. Storage areas shall be constructed to prevent food
products becoming a harborage for pests or vermin.
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12.5.2.3
hazard.
Module 12: Good Manufacturing Practices
for Transport and Distribution of Food
Products
Vehicles used in storage rooms shall be designed and operated so as not to present a food safety
12.5.3 Storage of Equipment and Containers
12.5.3.1 Storage rooms shall be designed and constructed to allow for the hygienic and efficient storage of
equipment and containers.
12.5.4 Storage of Hazardous Chemicals and Toxic Substances
12.5.4.1 Hazardous chemicals and toxic substances with the potential for food contamination shall be stored so as
not to present a hazard to staff, product, packaging, product handling equipment or areas in which the product is
handled, stored or transported.
12.5.5 Alternative Storage and Handling of Goods
12.5.5.1 Where goods described in 12.5.1 to 12.5.4 are held under temporary or overflow conditions that are not
designed for the safe storage of goods, a risk analysis shall be undertaken to ensure there is no risk to the integrity
of those goods or contamination or adverse effect on food safety and quality.
12.5.6 Loading, Transport and Unloading Practices
12.5.6.1 The practices applied during loading, transport and unloading of food shall be documented, implemented
and designed to maintain appropriate storage conditions and product integrity. Foods shall be loaded, transported
and unloaded under conditions suitable to prevent cross contamination.
12.5.7 Loading
12.5.7.1 Vehicles (trucks/vans/containers) used for transporting food shall be inspected prior to loading to ensure
they are clean, in good repair, suitable for the purpose and free from odors or other conditions that may impact
negatively on the product.
12.5.7.2 Loading practices shall be designed to minimize unnecessary exposure of the product to conditions
detrimental to maintaining product integrity.
12.5.8 Transport
12.5.8.1 Refrigerated units shall maintain the food at required temperatures and the unit’s temperature settings
shall be set, checked and recorded before loading and core product temperatures recorded at regular intervals
during loading as appropriate.
12.5.8.2 The refrigeration unit shall be operational at all times and checks completed of the unit’s operation, the
door seals and the storage temperature checked at regular intervals during transit.
12.5.9 Unloading
12.5.9.1 Prior to opening the doors the refrigeration unit’s storage temperature settings and operating
temperature shall be checked and recorded. Unloading shall be completed efficiently and product temperatures
shall be recorded at the commencement of unloading and at regular intervals during unloading.
12.5.9.2 Unloading practices shall be designed to minimize unnecessary exposure of the product to conditions
detrimental to maintaining product and package integrity.
12.6
Control of Foreign Matter Contamination
12.6.1 Control of Foreign Matter
12.6.1.1 The responsibility and methods used to prevent foreign matter contamination of product shall be
documented, implemented and communicated to all staff.
12.6.1.2 Inspections shall be performed to ensure plant and equipment remains in good condition and potential
contaminants have not detached or become damaged or deteriorated. The use of temporary fasteners such as
string, wire or tape to fix or hold equipment shall not be permitted.
12.6.1.3 The following preventative measures shall be implemented where applicable to prevent glass
contamination:
i.
All glass objects or similar material in food handling/contact zones shall be listed in a glass register
including details of their location;
ii.
Containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or
other like material (except where product is contained in packaging made from these materials, or
measurement instruments with glass dial covers or MIG thermometers required under regulation)
shall not be permitted in food processing /contact zones;
iii.
Conduct regular inspections of food handling/contact zones to ensure they are free of glass or other
like material and to establish no changes to the condition of the objects listed in the glass register;
and
iv.
Inspect glass instrument dial covers on processing equipment and MIG thermometers at the start and
finish of each shift to confirm they have not been damaged.
12.6.1.4 Wooden pallets and other wooden utensils used in food handling and storage shall be dedicated for that
purpose, clean, maintained in good order and their condition subject to regular inspection.
12.6.1.5 Loose metal objects on equipment, equipment covers and overhead structures shall be removed or
tightly fixed so as not to present a hazard.
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12.6.2
Module 12: Good Manufacturing Practices
for Transport and Distribution of Food
Products
Managing Foreign Matter Contamination Incidents
12.6.2.1 In all cases of foreign matter contamination the affected batch or item shall be isolated, inspected,
reworked or disposed of.
12.6.2.2 In circumstances where glass or similar material breakage occurs the affected area is to be isolated,
cleaned and thoroughly inspected (including cleaning equipment and footwear) and cleared by a suitably
responsible person prior to the commencement of operations.
12.7
Waste Disposal
12.7.1 Dry and Liquid Waste Disposal
12.7.1.1 The responsibility and methods used to collect and handle dry, wet and liquid waste and store prior to
removal from the premises shall be documented and implemented.
12.7.1.2 Waste shall be removed on a regular basis and not build up in food handling or storage areas.
Designated waste accumulation areas shall be maintained in a clean and tidy condition until such time as external
waste collection is undertaken.
12.7.1.3 Trolleys, vehicles waste disposal equipment, collection bins and storage areas shall be maintained in a
serviceable condition and cleaned and sanitized regularly so as not to attract pests and other vermin.
12.7.1.4 Reviews of the effectiveness of waste management will form part of daily hygiene inspections and the
results of these inspections shall be included in the relevant hygiene reports.
12.8
12.8.1
Exterior
Grounds and Roadways
12.8.1.1 The grounds and area surrounding the premises shall be maintained to minimize dust and be kept free
of waste or accumulated debris so as not to attract pests and vermin.
12.8.1.2 Paths, roadways and loading and unloading areas shall be maintained so as not to present a hazard to
the food safety operation of the premises.
12.8.1.3 Surroundings shall be kept neat and tidy and not present a hazard to the hygienic and sanitary
operation of the premises.
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Module 13: Food Safety Fundamentals Good Manufacturing Practices for
Production of Food Packaging
Module 13: Food Safety Fundamentals – Good Manufacturing
Practices for Production of Food Packaging (GFSI Scope M)
This module covers the Good Manufacturing Practices requirements for the production of food packaging.
Supplier implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 27: Production of food packaging
13.1
Site Requirements and Approval
13.1.1 Premises Location
13.1.1.1 The location of the premises shall be such that adjacent and adjoining buildings, operations and land
use do not interfere with safe and hygienic operations.
13.1.2 Construction and Operational Approval
The construction and on-going operation of the premises on the site shall be approved by the relevant authority.
13.2
Construction and Control of Product Handling and Storage Areas
13.2.1
Materials and Surfaces
In facilities where food contact packaging is manufactured, product contact surfaces shall be constructed of
materials that will not contribute a food safety risk.
13.2.2
Floors, Drains and Waste Traps
13.2.2.1 Floors shall be constructed of smooth, dense impact resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
13.2.2.2
Drains shall be constructed and located so they can be easily cleaned and not present a hazard.
13.2.2.3 Waste trap System shall be located away from any food and material handling area or entrance to the
premises.
13.2.3
Walls, Partitions, Doors and Ceilings
13.2.3.1
Walls, partitions, ceilings and doors shall be of durable construction and fit for purpose.
13.2.3.2 Wall to wall and wall to floor junctions shall be designed to be easily cleaned and sealed to prevent the
accumulation of food debris.
13.2.3.3
Doors shall be of solid construction and windows shall be made of shatterproof glass or similar material.
13.2.4
Lighting and Light Fittings
13.2.4.1 Lighting in premises where food contact packaging is manufactured shall be of appropriate intensity to
enable the staff to carry out their tasks efficiently and effectively.
13.2.4.2 Light fittings in such areas shall be shatterproof, manufactured with a shatterproof covering or fitted
with protective covers and recessed into or fitted flush with the ceiling.
13.2.4.3 Light fittings in other areas where product is stored shall be designed such as to prevent breakage and
product contamination.
13.2.5
Dust, Fly and Vermin Proofing
13.2.5.1 All external windows, ventilation openings, doors and other openings shall be effectively sealed when
closed and proofed against dust, vermin and flies.
13.2.5.2 Personnel access doors shall be provided. They shall be effectively fly-proofed and fitted with a selfclosing device.
13.2.5.3
proofed.
External doors, including overhead dock doors, used for product, pedestrian or truck access shall be fly-
13.2.5.4 Electric insect control devices, pheromone or other traps and baits shall be located so as not to present a
contamination risk to packaging, or manufacturing equipment.
13.2.6
Ventilation
13.2.6.1
stored.
Adequate ventilation shall be provided in areas where food contact packaging is manufactured and
13.2.7
Premises and Equipment Maintenance
13.2.7.1 The methods and responsibility for the maintenance and repair of plant, equipment and buildings shall
be documented planned and carried out in a manner that minimizes the risk of product, packaging or equipment
contamination.
13.2.7.2 Maintenance staff and contractors shall observe the following practices when undertaking maintenance
and repairs in any handling or storage area:
i.
Routine maintenance of plant and equipment shall be performed according to a maintenance-control
schedule and recorded;
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Module 13: Food Safety Fundamentals Good Manufacturing Practices for
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ii.
Failures of plant and equipment shall be documented, reviewed and their repair incorporated into the
maintenance control schedule;
iii.
Compliance with the personnel and process hygiene requirements (refer to elements 13.3.1, 13.3.2,
13.3.3, 13.3.4) by maintenance staff and contractors;
iv.
Ensure area supervisors are notified when maintenance or repairs are to be undertaken in any
packaging manufacturing area;
v.
Inform the maintenance supervisor and the facility supervisor if any repairs or maintenance that pose
a potential threat to product safety (i.e. pieces of electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance is to be conducted outside manufacturing times;
vi.
Remove all tools and debris from any maintenance activity once it has been completed and inform the
area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be completed
prior to the commencement of facility operations.
13.2.7.3 The maintenance schedule shall be prepared to cover building, equipment and other areas of the
premises critical to the maintenance of product safety and quality.
13.2.7.4 Equipment located over product or product conveyors shall be lubricated with food grade lubricants and
their use controlled so as to minimize the contamination of the product. Machinery lubricant controls shall be in
place to prevent contamination of packaging materials from gear box oils, bearing lubricants, hydraulics, or any
other source.
13.2.7.5 Paint used in a production area shall be suitable for use and in good condition and shall not be used on
any product contact surface.
13.2.8
Calibration
13.2.8.1 The methods and responsibility for the calibration and re-calibration of measuring, test and inspection
equipment used for monitoring activities outlined in the pre-requisite program, food safety plans and food quality
plans and other process controls, or to demonstrate compliance with customer specifications shall be documented
and implemented.
13.2.8.2 Procedures shall be documented and implemented to address the disposition of potentially affected
Product should measuring, test and inspection equipment be found to be out of calibration state.
13.2.8.3 Calibrated measuring, test and inspected equipment shall be protected from damage and unauthorized
adjustment.
13.2.8.4 Equipment shall be calibrated against national or international reference standards and methods or to
accuracy appropriate to its use. In cases where standards are not available the supplier shall provide evidence to
support the calibration reference method applied.
13.2.8.5 Calibration shall be performed according to regulatory requirements and/or to the equipment
manufacturers recommended schedule.
13.2.8.6
Calibration records shall be maintained.
13.2.9
Management of Pests and Vermin
13.2.9.1 The methods and responsibility for integrated pest management shall be documented and effectively
implemented. The premises, its surrounds, storage facilities, machinery and equipment shall be kept free of waste
or accumulated debris so as not to attract pests and vermin.
13.2.9.2
The pest and vermin management program shall:
i.
Describe the methods and responsibility for the development, implementation and maintenance of the
pest and vermin management program;
ii.
Identify the target pests for each pesticide application;
iii.
Outline the methods used to prevent pest problems;
iv.
Outline the pest elimination methods;
v.
Outline the frequency with which pest status is to be checked;
vi.
Include on a site map the identification, location, number and type of bait stations set;
vii. List the chemicals used (they are required to be approved by the relevant authority and their Material
Safety Data Sheets (MSDS) made available);
viii. Outline the methods used to make staff aware of the bait control program and the measures to take
when they come in contact with a bait station;
ix.
Outline the requirements for staff awareness and training in the use of pest and vermin control
chemicals and baits; and
x.
Measure the effectiveness of the program to verify the elimination of applicable pests.
13.2.9.3 Inspections for pest activity shall be undertaken on a regular basis by trained personnel and the
appropriate action taken if pests are present.
13.2.9.4
Records of all pest control applications shall be maintained.
13.2.9.5 Pesticides and other toxic chemicals shall be clearly labeled and stored as described in element 13.6.3
and handled and applied by properly trained personnel. They shall be used by or under the direct supervision of
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Production of Food Packaging
trained personnel with a thorough understanding of the hazards involved, including the potential for the
contamination of food contact packaging.
13.2.9.6
Pest control contractors shall be:
i.
Licensed and approved by the local relevant authority;
ii.
Use only trained and qualified operators who comply with regulatory requirements;
iii.
Use only approved chemicals;
iv.
Provide a pest control management plan (see Contract Services 2.3.3) which will include a site map
indicating the location of bait stations and traps;
v.
Report to a responsible senior management person on entering the premises and after the completion
of inspections or treatments; and
vi.
Provide a written report of their findings and the inspections and treatments applied.
13.2.9.7
The supplier shall dispose of unused pest control chemicals and empty containers in accordance with
regulatory requirements and ensure that:
i.
Empty chemical containers are not reused;
ii.
Empty containers are labeled, isolated and securely stored while awaiting collection; and
iii.
Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal
by an approved vendor.
13.2.10
Equipment, Utensils and Protective Clothing
13.2.10.1 Equipment and utensils shall be designed, constructed, installed, operated and maintained so as not to
pose a contamination threat to the product.
13.2.10.2 Protective clothing shall be manufactured from material that is not liable to contaminate food and easily
cleaned.
13.2.10.3 Racks shall be provided for the temporary storage of protective clothing when staff leaves the processing
area and shall be provided in close proximity or adjacent to the personnel access doorways and hand washing
facilities.
13.2.11
Cleaning and Sanitation
13.2.11.1 The methods and responsibility for the cleaning of manufacturing and storage areas, staff amenities and
toilet facilities shall be documented and implemented.
13.2.11.2 Provision shall be made for the effective cleaning of processing equipment, utensils and protective
clothing.
13.2.11.3 Suitably equipped areas shall be designated for cleaning product containers, utensils and cleaning staffs
protective clothing. Racks and containers for storing cleaned utensils and protective clothing shall be provided as
required.
13.2.11.4 Pre-operational hygiene and sanitation inspections shall be conducted by qualified personnel to ensure
manufacturing and storage areas, staff amenities and sanitary facilities and other essential areas are clean
13.2.11.5 The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be
documented and implemented. A verification schedule shall be prepared.
13.2.11.6 Detergents and sanitizers shall be purchased in accordance with applicable legislation. The organization
shall ensure:
i.
An inventory of all chemicals purchased and used shall be maintained;
ii.
Detergents and chemicals are stored as outlined in element 13.6.3;
iii.
Material Safety Data Sheets (MSDS) are provided for all detergents and sanitizers purchased; and
iv.
Only trained staff handles sanitizers and detergents.
13.2.11.7 The supplier shall dispose of unused detergents and sanitizers and empty containers in accordance with
regulatory requirements and ensure that:
13.3
13.3.1
i.
Empty detergent and sanitizer containers are appropriately cleaned, treated and labeled before use;
ii.
Empty detergent and sanitizer containers are labeled, isolated and securely stored while awaiting
collection; and
iii.
Unused and obsolete detergents and sanitizers are stored under secure conditions while waiting
authorized disposal by an approved vendor.
Personnel Hygiene and Welfare
Personnel
13.3.1.1 Personnel suffering from infectious diseases or are carriers of, any infectious disease shall not engage in
the manufacture of food contact packaging, or storage areas where food contact packaging is exposed.
13.3.1.2 Personnel with exposed cuts, sores or lesions shall not be engaged in handling product or handling
packaging materials... Minor cuts or abrasions on exposed parts of the body shall be covered with colored bandage
containing a metal strip or an alternative suitable waterproof and colored dressing.
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Production of Food Packaging
13.3.1.3 Smoking, chewing, eating, drinking or spitting is not permitted in any food handling or storage areas
where product is exposed.
13.3.2
Hand Washing
13.3.2.1 Hand wash basins shall be provided adjacent to all personnel access points and in accessible locations
throughout manufacturing area as required.
13.3.2.2 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a
minimum supplied with:
i.
A potable water supply at an appropriate temperature;
ii.
Liquid soap contained within a fixed dispenser;
iii.
Paper towels or effective hand dryer; and
iv.
A means of containing used paper towels.
13.3.2.3 A sign advising people to wash their hands, and in appropriate languages, shall be provided in a
prominent position adjacent to hand wash stations.
13.3.2.4 Personnel shall have clean hands and hands shall be washed by all personnel, including staff,
contractors and visitors:
i.
On entering product contact areas;
ii.
After each visit to a toilet;
iii.
After using a handkerchief;
iv.
After smoking, eating or drinking; and
v.
After handling contaminated material.
13.3.2.5
When gloves are used, personnel shall maintain the hand washing practices outlined above.
13.3.3
Clothing
13.3.3.1 Clothing worn by staff engaged in handling food contact packaging shall be maintained, stored,
laundered and worn so as not to present a contamination risk to products.
13.3.3.2 Clothing shall be clean at the commencement of each shift and maintained in a serviceable condition.
Excessively soiled uniforms shall be changed where they present a product contamination risk.
13.3.4
Jewelry and Personal Effects
13.3.4.1 Jewelry and other loose objects shall not be worn or taken into a product handling area or any area
where packaging is exposed.
13.3.4.2 The wearing of plain bands with no stones and medical alert bracelets that cannot be removed can be
permitted, however the supplier will need to consider their customer requirements and the applicable food
legislation.
13.3.5
Visitors
13.3.5.1 All visitors, including management and maintenance staff, shall wear suitable clothing and footwear
when entering any packaging handling or storage area.
13.3.5.2 Visitors shall enter and exit packaging handling or storage area through the proper staff entrance points
and comply with all hand washing and personal practice requirements.
13.3.6 Staff Amenities
13.3.6.1 Staff amenities supplied with appropriate lighting and ventilation shall be made available for the use of
all persons engaged in the handling and storage of food contact packaging.
13.3.7
Change Rooms
13.3.7.1 Facilities shall be provided to enable staff and visitors to change into and out of protective clothing as
required.
13.3.7.2 Provision shall be made for staff to store their street clothing and personal items separate from
packaging handling or storage areas.
13.3.8 Sanitary Facilities
13.3.8.1
Toilet rooms shall be:
i.
designed and constructed so that they are accessible to staff and separate from any packaging
handling or storage operations;
ii.
accessed from the manufacturing area via an airlock vented to the exterior or through an adjoining
room;
iii.
sufficient in number for the maximum number of staff;
iv.
constructed so that they can be easily cleaned and maintained; and
v.
kept clean and tidy.
13.3.8.2 Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to
a septic tank or a sewerage system. Procedure shall be documented and implemented to properly manage sewage
back-ups in order to minimize the potential for contamination.
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Production of Food Packaging
13.3.8.3 Hand wash basins shall be provided immediately outside or inside the toilet room and designed as
outlined in 13.3.2.3.
13.3.9
Lunch Rooms
13.3.9.1 Separate lunch room facilities shall be provided away from packaging handling or storage areas. Lunch
rooms shall be kept clean and tidy and free from waste materials and pests.
13.3.9.2 Signage in appropriate languages advising people to wash their hands before entering the food
processing areas shall be provided in a prominent position in lunch rooms and at lunch room exits.
13.3.10
First Aid
13.3.10.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized care.
13.4
Personnel Practices
13.4.1 Staff Engaged in Handling of Food Contact Packaging
13.4.1.1 All personnel engaged in any packaging handling and storage operations shall comply with the following
practices:
i.
Personnel entry to manufacturing areas shall be through the personnel access doors only;
ii.
All doors are to be kept closed. Doors shall not be left open for extended periods when access for
waste removal or receiving of product/ingredient/packaging is required;
iii.
Packaging material shall be kept in appropriate containers as required and off the floor;
iv.
Waste shall be contained in the bins identified for this purpose and removed from the processing area
on a regular basis and not left to accumulate
13.4.1.2 The manufacturing process shall be controlled such that the packaging material produced is food safe
and free from contamination. Procedures shall be in place to prevent cross contamination of food contact
packaging from raw materials, recycled materials, or chemicals.
13.4.1.3 All personnel engaged in the manufacture, storage, transport and handling of packaging materials shall
ensure that products and materials are handled and stored in such a way as to prevent damage or product
contamination.
13.5
Water and Air Supply
13.5.1
Water Supply
13.5.1.1 Adequate supplies of clean water shall be provided for use during manufacturing operations, as an
ingredient and for cleaning the premises and equipment.
13.5.1.2 Supplies of hot and cold water shall be provided as required to enable the effective cleaning of the
premises and equipment.
13.5.2 Monitoring Water Microbiology and Quality
13.5.2.1
Water used for
i.
The manufacture of food contact packaging;
ii.
Cleaning product contact surfaces;
iii.
The manufacture of steam that will come in contact with packaging;
shall comply with national or internationally recognized potable water microbiological and quality standards as
required.
13.5.3 Water Delivery
13.5.3.1
The delivery of water within the premises shall ensure potable water is not contaminated.
13.5.3.2
The use of non-potable water shall be controlled such that:
i.
There is no cross contamination between potable and non-potable water lines;
ii.
Non-potable water piping and outlets are clearly identified; and
13.5.4 Air Quality
13.5.4.1
Compressed air used in the manufacturing process shall be clean and present no risk to food safety;
13.5.4.2
Compressed air used in the manufacturing process shall be regularly monitored for purity.
13.6
Storage and Transport
13.6.1 Storage of Food Contact Packaging
13.6.1.1 Rooms used for the storage of food contact packaging shall be located away from wet areas and
constructed to protect the product from contamination and deterioration.
13.6.1.2 Racks provided for the storage of packaging shall be constructed of impervious materials and designed
to enable cleaning of the floors and the storage room.
13.6.1.3
hazard.
Vehicles used in storage rooms shall be designed and operated so as not to present a food safety
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Module 13: Food Safety Fundamentals Good Manufacturing Practices for
Production of Food Packaging
13.6.2 Storage of Equipment
13.6.2.1 Storage rooms shall be designed and constructed to allow for the hygienic and efficient storage of
equipment.
13.6.3 Storage of Hazardous Chemicals and Toxic Substances
13.6.3.1 Hazardous chemicals and toxic substances with the potential for contamination of packaging materials
shall be stored so as not to present a hazard to staff, packaging, or areas in which packaging is handled, stored or
transported.
13.6.4 Alternative Storage and Handling of Goods
13.6.4.1 Where goods described in 13.6.1 to 13.6.3 are held under temporary or overflow conditions that are not
designed for the safe storage of goods, a risk analysis shall be undertaken to ensure there is no risk to the integrity
of those goods or contamination or adverse effect on food safety and quality.
13.6.5 Loading, Transport and Unloading Practices
13.6.5.1 The practices applied during loading, transport and unloading of food contact packaging shall be
documented, implemented and designed to maintain appropriate storage conditions and product integrity.
Packaging shall be loaded, transported and unloaded under conditions suitable to prevent cross contamination.
13.6.6 Loading/Unloading
13.6.6.1 Vehicles (trucks/vans/containers) used for transporting of food contact packaging shall be inspected
prior to loading to ensure they are clean, in good repair, suitable for the purpose and free from odors or other
conditions that may impact negatively on the product.
13.6.6.2 Loading practices shall be designed to minimize unnecessary exposure of product to conditions
detrimental to maintaining product integrity.
13.7
Separation of Function
13.7.1 Process Flow
13.7.1.1 The process flow shall be designed to prevent cross-contamination and organized so that there is a
continuous flow of product through the process.
13.7.1.2 The flow of personnel shall be managed such that the potential for contamination is minimized.
13.7.2 Control of Foreign Matter
13.7.2.1 The responsibility and methods used to prevent foreign matter contamination of product shall be
documented, implemented and communicated to all staff.
13.7.2.2 Inspections shall be performed to ensure plant and equipment remains in good condition and potential
contaminants have not detached or become damaged or deteriorated. The use of temporary fasteners such as
string, wire or tape to fix or hold equipment shall not be permitted.
13.7.2.3 The following preventative measures shall be implemented where applicable to prevent glass
contamination:
i.
All glass objects or similar material in food handling/contact zones shall be listed in a glass register
including details of their location;
ii.
Containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or
other like material (except where product is contained in packaging made from these materials, or
measurement instruments with glass dial covers or MIG thermometers required under regulation)
shall not be permitted in food processing /contact zones;
iii.
Conduct regular inspections of food handling/contact zones to ensure they are free of glass or other
like material and to establish no changes to the condition of the objects listed in the glass register;
and
iv.
Inspect glass instrument dial covers on processing equipment and MIG thermometers at the start and
finish of each shift to confirm they have not been damaged.
13.7.1.4 Wooden pallets and other wooden utensils used in packaging handling and storage shall be dedicated for
that purpose, clean, maintained in good order and their condition subject to regular inspection.
13.7.2.5 Loose metal objects on equipment, equipment covers and overhead structures shall be removed or
tightly fixed so as not to present a hazard.
13.7.3 Managing Foreign Matter Contamination Incidents
13.7.3.1 In all cases of foreign matter contamination the affected batch or item shall be isolated, inspected,
reworked or disposed of.
13.7.3.2 In circumstances where glass or similar material breakage occurs the affected area is to be isolated,
cleaned and thoroughly inspected (including cleaning equipment and footwear) and cleared by a suitably
responsible person prior to the commencement of operations.
13.8
Waste Disposal
13.8.1 Dry and Liquid Waste Disposal
13.8.1.1 The responsibility and methods used to collect and handle dry, wet and liquid waste and store prior to
removal from the premises shall be documented and implemented.
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Module 13: Food Safety Fundamentals Good Manufacturing Practices for
Production of Food Packaging
13.8.1.2 Waste shall be removed on a regular basis and not build up in food handling or storage areas.
Designated waste accumulation areas shall be maintained in a clean and tidy condition until such time as external
waste collection is undertaken.
13.8.1.3 Trolleys, vehicles waste disposal equipment, collection bins and storage areas shall be maintained in a
serviceable condition and cleaned and sanitized regularly so as not to attract pests and other vermin.
13.8.1.4 A documented procedure shall be in place for the controlled disposal of trademarked or other printed
materials. Where a contracted disposal service is used, the disposal process shall be reviewed regularly to confirm
compliance.
13.8.1.5 Reviews of the effectiveness of waste management will form part of daily hygiene inspections and the
results of these inspections shall be included in the relevant hygiene reports.
13.9
Exterior
13.9.1 Grounds and Roadways
13.9.1.1 The grounds and area surrounding the premises shall be maintained to minimize dust and be kept free
of waste or accumulated debris so as not to attract pests and vermin.
13.9.1.2 Paths, roadways and loading and unloading areas shall be maintained so as not to present a hazard to
the food safety operation of the premises.
13.9.1.3 Surroundings shall be kept neat and tidy and not present a hazard to the hygienic and sanitary
operation of the premises.
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Module 14: Food Safety Fundamentals Good Manufacturing Practices for Food
Brokers and Agents
Module 14: Food Safety Fundamentals – Good Manufacturing
Practices for Food Brokers and Agents (GFSI Scope N)
This module covers the Good Manufacturing Practices requirements for the brokers or agents supplying finished
food or feed products
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 35: Broker or agent
Available July 2012
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Module 15: GMP for Food Catering,
Wholesale, and Retail
Module 15:
Food Safety Fundamentals: - Good Manufacturing
Practices for Food Catering, Wholesale and Retail (GFSI G, H)
This module covers the Good Manufacturing Practices requirements for retail or wholesale supply of food products
and food catering operations
Suppliers implementing this module must also meet the requirements of Module 2: SQF System Elements.
Applicable food sector categories (FSCs) are:
FSC 24: Food retail
FSC 23: Food catering and food service operations
Available July 2013
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
139
The SQF Code, Edition 7
First published May 1995
Module 16:
Requirements for SQF
Multi-site Programs Managed by a Central
Site
Module 16:
Requirements for SQF Multi-site Programs Managed
by a Central Site
16.1
Scope
16.1.1 This module outlines the requirements for establishing and maintaining certification of a multi-site
program that is managed by an SQF certified central site.
16.2
Definitions
16.2.1 An SQF multi-site program is comprised of a central site under which activities are planned to manage
and control the food safety and quality management systems of a network of sub-sites under a legal or contractual
link.
16.2.2 For the purpose of this Code the definitions outlined in Appendix 2: Glossary of Terms and the following
definitions apply.
16.2.3 Central-site is an entity certified to the SQF Code (i.e. manufacturer, packer, warehouse), or eligible for
such certification, that has a network of primary producer sub-sites that are eligible for certification to the SQF
Code and are all involved in the same production activity.
16.3
Eligibility Criteria for the Multi-site Organization
16.3.1
The central site is the entity responsible for the SQF multi-site program.
16.3.2
Sub-sites shall be linked to the central site by a legal or contractual arrangement.
16.3.3
Central sites shall implement an SQF System that includes management of the sub-sites and internal audit
of the sub-sites.
16.3.4 Sub-sites shall implement a common SQF System which is subject to continuous surveillance by the
central site.
16.3.5 The central site shall implement corrective actions when needed in any sub-site. This shall be laid down in
the contract between the central site and the sub-sites.
16.3.6 The product(s) supplied by each of the sub-sites shall be substantially of the same kind and produced
according to the same fundamental methods and procedures.
16.3.7 The central site shall establish and maintain SQF Certification for the duration of the SQF multi-site
program.
16.3.8 The central site’s SQF management system shall be administered under a centrally controlled plan and be
subject to central management review.
16.3.9 The central site shall demonstrate an ability to collect and analyze data from all sites, including the central
site, and have the authority and ability to initiate organizational change if required.
The central administration function and the sub-sites shall be subject to the central site’s internal audit program
and shall be audited in accordance with that program and prior to the certification audit.
16.4
Internal Audits
16.4.1 The central site shall document its internal audit procedure which shall include an internal audit schedule
and outline the method of conducting audits of sub-sites and the central site administrative function.
16.4.2 An internal audit which includes all relevant elements of module 2, and the GAP or GMP module(s)
applicable to the food sector category, shall be conducted at least once per year, and during periods of peak
activity.
16.5
Internal Audit Personnel
16.5.1
Personnel conducting internal audits shall:
i.
ii.
iii.
Successfully complete the Implementing SQF Course
Attend internal auditor training
Have competence in the same food sector category as the internal audit
16.5.2 Personnel reviewing the internal audits of the multi-site organization and evaluating the results of those
internal audits shall be separate from personnel conducting the internal audits and be trained in internal audit
procedures and be registered as an SQF consultant or an SQF auditor.
16.5.3 It is acceptable for the central site to contract out the internal audit function provided the contractor is
registered as an SQF consultant or an SQF auditor.
16.5.4 Where the internal audit function is contracted out the central site shall be accountable for the actions and
effectiveness of the work completed by the contractor.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
140
The SQF Code, Edition 7
First published May 1995
Module 16:
Requirements for SQF
Multi-site Programs Managed by a Central
Site
16.5.5
Contract arrangements shall comply with 2.3.3 of the SQF Code.
16.6
Auditing and Certifying the Multi-site Organization
16.6.1 Audits and certification of an SQF multi-site organization shall be completed by SQF licensed and
accredited certification bodies. The third party audit involves:
i
The certification audit (including desk and facility audit);
ii
Surveillance audits; and
iii
Re-certification audits.
16.6.2 The, certification audit and subsequent surveillance and re-certification audits of the multi-site
organization shall be centered on the SQF central site, the central site’s internal audit function and a sample of the
sub-sites.
16.7
Audit Frequency
16.7.1 For high risk foods, the certification audit of the central site and a sample (refer to element16.10) of subsites are conducted every twelve months, and a surveillance audit of the central site and a sample of sub-sites is
conducted six months after the certification or re-certification audit.
16.7.2 For low risk foods, the certification audit of the central site and a sample (refer to element 16.10) of subsites are conducted every twelve months.
16.7.3 Re-certification audits are conducted on the anniversary of the last day of the last certification audit, plus
or minus 30 calendar days.
16.7.4 Surveillance audits are conducted six months from the last day of the last certification audit, plus or minus
30 calendar days.
16.7.5 If the central site or any one of the sampled sub-sites is identified as having a critical non-conformity at
audit, or otherwise achieves only an ‘” – Fails to comply” rating, the certificates for the central site and all sub-sites
shall be suspended until such time as a “C – Complies” rating or better is achieved at a further round of audits at
the central site and a sample of sub-sites.
16.8
Selecting the Sub-site
16.8.1
The selection of the sample is the responsibility of the certification body.
16.8.2 The sample is partly selective based on the factors set out below and partly non-selective, and shall result
in a range of different sub-sites being selected, without excluding the random element of sampling. At least 25% of
the sub-sites selected shall be based on random selection.
16.8.3 The sample of sub-sites shall be selected so that the differences among the selected sub-sites over the
period of validity of the certificate of registration are as large as possible.
16.8.4
The sub-site selection criteria shall include among others the following aspects:
i
Results of internal audits or previous certification assessments;
ii
Records of complaints and other relevant aspects of correction and corrective action;
iii
Significant variations in the size of the sub-sites;
iv
Variations in the work procedures;
v
Modifications since the last certification assessment; and
vi
Geographical dispersion.
vii New growers added into the program
16.8.5 The central site shall be informed of the sub-sites that will comprise the sample and be allowed adequate
time to prepare for the audit.
16.8.6 The central site’s SQF System, including its sub-site internal audit procedure, shall be assessed during the
certification audit and each surveillance (if applicable) and re-certification audit.
16.9
Determining the Size of the Sub-sites Sample
16.9.1
The certification body shall record the justification for applying a sample size outside that described in
this clause.
16.9.2
For low risk activity at each sub-site, the minimum number of sub-sites to be audited at a certification
audit, re-certification audit, or surveillance audit (if required) is the square root of the number of subsites with 1.5 as a co-efficient (y=1.5√x), rounded to the higher whole number.
16.9.3
For high risk activity at each sub-site, the minimum number of sub-sites to be audited at a certification
audit, re-certification audit, and surveillance audit is the square root of the number of sub-sites with 2.0
as a co-efficient (y=2√x), rounded to the upper whole number.
16.9.4
The size of sample shall be increased where the certification body’s risk analysis of the activity covered
by the management system subject to certification indicates special circumstances in respect of factors like:
i.
Major variations in processes undertaken at each sub-site;
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
141
The SQF Code, Edition 7
First published May 1995
Module 16:
Requirements for SQF
Multi-site Programs Managed by a Central
Site
ii.
Records of complaints and other relevant aspects of correction and corrective action;
iii.
Indication of an overall breakdown of food safety controls; or
iv.
Inadequate internal audits or action arising from internal audit findings.
16.10 Additional Sub-sites
16.10.1
On the application of a new group of sub-sites to join an already certified SQF multi-site program,
each new group of sub-sites shall be considered as an independent set for the determination of the sample size.
After inclusion of the new group in the certification, the new sub-sites shall be cumulated to the previous ones for
determining the sample size for future surveillance or re-certification audits.
16.11 Dealing with Non-conformities
16.11.1 When non-conformities are found at any individual sub-site through the central site’s internal auditing,
investigation shall take place to determine whether the other sub-sites may be affected. The certification body shall
require evidence that the central site has taken action to rectify all non-conformities found during internal audits
and that all non-conformities are reviewed to determine whether they indicate an overall system deficiency
applicable to all sub-sites or not. If they are found to do so, appropriate corrective action shall be taken both at the
central site and at the individual sub-sites. The central site shall demonstrate to the certification body the
justification for all follow-up action.
16.11.2 When non-conformities are found at the central site or at any individual sub-site through auditing by the
certification body, action shall be taken by the certification body as outlined in Part A, 3.2.
16.11.3 When non-conformities are found at the central site, the certification body shall increase its sampling
frequency until it is satisfied that control has been re-established by the central site.
16.11.4 At the time of the initial certification and subsequent re-certification a certificate of registration shall not
be issued to the central site and sub-sites until satisfactory corrective action is taken to close out all Nonconformances.
16.11.5 It shall not be admissible that, in order to overcome the obstacle raised by the existence of nonconformity at a single sub-site, the central site seeks to exclude from the scope of certification the “problematic”
sub-site during the certification, surveillance or re-certification audit.
16.12 Certificate Issued for a Multi-site Organization
16.12.1 A certificate of registration shall be issued to the central site and all sub-sites within the SQF multi-site
program. The central site’s certificate of registration shall include an appendix listing all sub-sites participating in
the multi-site program. The sub-site certification shall state within its scope of certification that it is part of a
multi-site certification. The format for the certificate of registration and the appendix list is provided by the SQF
Institute.
16.12.2 The certification date for the central site and sub-sites shall be the date of the last audit conducted in
that certification cycle. The certificate expiry date shall be based on the certificate decision of the last date of the
sub-site audit.
16.12.3 The certificate of registration will be withdrawn in its entirety, if the central site or any of the sub-sites
do not fulfill the necessary criteria for the maintaining of the certificate of registration.
16.12.4 The list of sub-sites shall be kept updated by the central site. The central site shall inform the
certification body about the closure of any of the sub-sites or the addition of new sub-sites. Failure to provide such
information will be considered by the certification body as a misuse of the certificate of registration, and the multisite organization’s certificate of registration shall be suspended until the matter is corrected to the satisfaction of
the certification body.
16.12.5 Additional sub-sites shall be added to an existing certification as the result of surveillance or recertification audits.
16.12.6
Where a primary sub-site has 4 or more secondary sites (e.g. growing areas), the primary location shall
be audited and 50% of the secondary sites. More than 50% can be audited if there is evidence that there are
grounds to justify the further audit time.
16.12.7
Surveillance audits are only required if a central site receives a “C – Complies” rating. If any sub-site
fails the audit, all certificates, including the central-site certificate, will be withheld or suspended/withdrawn if
already issued. Suspension or withdrawal would remain in effect until all sub-sites within the group are certified.
16.13 Quality Shield Issued for a Multi-site Organization
16.13.1
The SQF quality shield is issued by the certification body to level 3 certified multi-sites. The central site
and all sub-sites will be issued a logo referencing the central site’s certification number. Reference Appendix 3: SQF
Quality Shield and Logo Rules of Use.
16.13.2 If any site within the multi-site has their certificate suspended or withdrawn, all sites within the multisite must comply with clause 5 and 6 of the SQF Quality Shield section of Appendix 3: SQF Quality Shield and Logo
Rules of Use.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
142
Appendix 1: Food Sector Categories
The SQF Code, Edition 7
First published May 1995
Appendix 1: SQF Food Sector Categories
Category
No.
1
(Supplier
Scope of
Certification)
Production,
Capture and
Harvesting of
Livestock and
Game Animals:
GFSI Industry
Scopes
Al:
Farming
Animals
Applicable SQF Code
Modules
of
Description
Module 2: System elements
Module 5: GAP
animal products
for
farming
of
Applies to the capture, transport, holding,
intensive animal husbandry and free range
farming of animals, but does not include fish.
Example of Products
Level of Risk
Includes:
Deer, cattle, goats, sheep,
poultry, ostrich, emu, egg, etc.
pigs,
Low risk
Cattle, veal, lamb, pigs, poultry, eggs
Cattle, sheep and goats
Free Range Animal
Production
Buffalo, wild pigs, emu
Bees
Intensive Animal
Production
Dairy farming
Game Animals
Apiculture
2
3
Growing and
Harvesting of
Animal Feeds
Fl: Production of
Single
Ingredient
Feed
Module 2: System elements
Growing and
Production of
Fresh Produce:
Bl:
Farming
Plant Products
Module 2: System elements
of
Module 3: GAP for single feed
production
Module 7: GAP for farming of fruit
and vegetable products
Fresh produce that
will undergo further
processing
Ready-to-Eat (RTE)
Produce
4
5
Fresh Produce
Pack house
Operations
D:
Pre-processing
of Plant Products
Module 2: System elements
Extensive Broad
Acre Agriculture
Operations and
Seed Production
Bll:
Farming
of
Grains and Pulses
Module 2: System elements
Module 10: GMP for pre-processing
of plant products
Module 8: GAP for
grains and pulses
farming
of
Applies to the production, harvesting,
transport and storage of all non-processed
sources of animal feeds.
Excludes
manufactured animal feed.
Includes pasture, silage and hay.
Low risk
Applies to the production, harvesting,
preparation, field packing, transport and
controlled temperature storage of fresh
whole fruit and vegetables.
Includes all
products grown under broad acre and
intensive horticulture production System,
including
orchards,
viticulture,
and
hydroponics
production
and
nursery
operations.
All fruit
including:
Generally low risk.
Some products are
classified as high risk
Applies to the packing, sorting, grading,
cleaning, controlled atmosphere temperature
storage and transport of fresh and prepackaged whole unprocessed fruits and
vegetables for retail sale or further
processing.
Includes all fruit and vegetable varieties
which are packed in pack houses and
which
may
undergo
controlled
atmosphere storage and transport.
Low risk
Applies to the production, harvesting,
preparation, transport and storage of cereal
and other grains.
All grain and cereal varieties including
but not limited to wheat, oats, pulse
crops, soy, legumes, maize, corn and
cotton
Generally low risk,
although some
products and
processes are
classified as high risk.
and
vegetable
varieties
Tropical and temperate tree fruits,
carrots, beets, potatoes, wine grapes
Table grapes, strawberries, raspberries,
blueberries, all forms of leafy greens,
spring mix, tomatoes, peppers, herbs
and spices and tomatoes, green onions,
baby spinach, lettuce, melons etc.
Mung bean seeds,
Watercress seeds.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
143
alfalfa
seeds,
Appendix 1: Food Sector Categories
The SQF Code, Edition 7
First published May 1995
Category
No.
6
(Supplier
Scope of
Certification)
Harvest and
Intensive
Farming of Fish
GFSI Industry
Scopes
Applicable SQF Code
Modules
All: Farming of Fish
and Seafood
Module 2: System elements
Module 6: GAP for farming of fish
Wild Caught Fish
Aquaculture and
RTE fish.
7
Slaughterhouse,
Boning and
Butchery
Operations:
C:
pre-process
handling of animal
products
Module 2: System elements
Module 9: GMP for pre-processing
of animal products
Red Meat
Description
Example of Products
All fresh and salt water
shellfish species including:
fish
Level of Risk
Applies to the harvest and wild capture and
intensive farming of freshwater and marine
fishes and shellfish, including purification,
transport and storage and extends to gilling,
gutting, shucking and chilling operations at
sea.
and
Tuna, abalone, lobster, shrimp, salmon,
snapper and other finfish spp.
Applies to the slaughtering, dressing,
processing,
transport, storage, chilling,
freezing and wholesaling of all animal species
and game animals for consumption and
extends to all meat cuts.
Includes uncooked poultry, pork and red
meat animal species prepared in retail
butcher shops, boning rooms and meat
wholesale markets, including ground
(minced) meats.
Tuna, oysters, mussels, salmon, tilapia,
shrimp, bass, catfish etc.
Generally low risk,
although some
products and
processes are
classified as high risk.
Low risk
Bone in and whole muscle fillet for pork
and red meat species including ground
(minced) red meat.
Poultry Meat
Bone in and whole muscle poultry fillet
and ground (minced) poultry meat.
8
9
Processing of
Manufactured
Meats and Poultry
El: Processing of
Perishable
Animal
Products
Module 2: System elements
Seafood
Processing:
El: Processing of
Perishable
Animal
Products
Module 2: System elements
Raw fish and fishery
products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Uncooked RTE Fish
Cooked RTE Fish
10
Dairy Food
Processing
El: Processing of
Perishable
Animal
Products
Module 2: System elements
Module 11: GMP for processing of
food products
Applies to the processing, manufacture,
transport and storage operations where meat
(all red meat species and poultry) is the
major ingredient including all value-adding
operations (i.e. cook-chill, crumbing, curing,
smoking, cooking, drying, fermenting and
vacuum packing) and chilling and freezing
operations, but not canning of meat or
poultry product.
Includes poultry, pork and red meats
blends and raw heat-treated and
fermented poultry, pork and red meats
including salami, hot dogs, sausages,
bacon, pepperoni, and meat pastes etc.
High risk product and
process
knowledge
required
Applies to the processing, manufacture,
transport and storage of all fish species and
extends to value-adding operations including
dismembering,
fermenting,
crumbing,
smoking, cooking freezing, chilling, drying
and vacuum packing, but not canning of fish
product.
Includes:
Some products are
classified high risk.
Applies to the processing, transport and
storage of food products from all species
used for milk collection and extends to all
value-adding operations including freezing
ultra filtration, evaporation/concentration,
fermentation, clarification, culturing and
spray drying of milk but not UHT operations.
(refer FSC 15)
Includes all milk collection and includes
milk and cream, butter, cottage cheese,
sour cream, all forms of cheese, yogurt,
ice cream and dried milk. Includes milk
substitutes such as soymilk and tofu
(where the process and technology is
essentially the same).
Also includes
infant formula.
Whole fish, fish fillets, reformed fish
cakes, coated fish portions uncooked
fish product
Sashimi, sushi and raw uncooked
shellfish such as oyster and mussels
Uncooked RTE
product is high risk
and process
knowledge required
Includes, surimi smoked cooked fish
products chilled or frozen that require
no further cooking prior to consumption.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
144
High risk product and
process
knowledge
required
Appendix 1: Food Sector Categories
The SQF Code, Edition 7
First published May 1995
Category
No.
11
12
13
14
15
16
17
(Supplier
Scope of
Certification)
GFSI Industry
Scopes
Honey Processing
El: Processing of
Perishable
Animal
Products
Module 2: System elements
El: Processing of
Perishable
Animal
Products
Module 2: System elements
Bakery and Snack
Food Processing
ElV: Processing of
Ambient
Stable
Products
Module 2: System elements
Fruit and
Vegetable
Processing
Ell: Processing or
Perishable
Plant
Products
Module 2: System elements
Canning,
Pasteurizing, UHT
and Aseptic
Operations
ElV: Processing of
Ambient
Stable
Products
Module 2: System elements
Egg Processing
Applicable SQF Code
Modules
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Ice, Drink and
Beverage
Processing
ElV: Processing of
Ambient
Stable
Products
Module 2: System elements
Confectionary
Manufacturing
ElV: Processing of
Ambient
Stable
Products
Module 2: System elements
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Description
Example of Products
Level of Risk
Applies to the processing, transport and
storage of food products from all species
used for honey collection including valueadded operations.
Includes clarifying and
treatment operations.
Includes honeycomb; pollen and royal
jelly
Some
high
risk
process
knowledge
required
Applies to the processing, transport and
storage of food products from all species
used for egg collection and processing.
Fresh shell eggs including value-added
products where egg is the major
ingredient.
High risk product and
process
knowledge
required
Applies to the processing, transport and
storage of extruded snack foods and cake
mix formulations and extends to all bakery
operations.
Includes baked items such as meat
pies, custard pies, bread, cookies, cakes
and mixes and all varieties of snack
food.
Some
high
risk
process
knowledge
required
Applies to the processing, transport, storage
and distribution of all processed fruit and
vegetable
varieties
including
freezing,
fermenting drying, slicing, dicing, cutting,
and modified atmosphere processing of all
fruits and vegetables. Does not include fruit
or vegetable juice manufacture or the
canning of fruits and vegetables.
Includes frozen. Fermented, dried,
sliced,
diced,
cut,
and
modified
atmosphere packaged (MAP) fruit and
vegetable products including prepared
and deli salads.
Some
high
risk
process
knowledge
required
Applies to the processing, transport and
storage of low acid canned foods, and
sterilization (retorting) UHT, or other high
temperature
processes
not
covered
elsewhere and the manufacture of the
associated hermetically sealed containers.
Includes:
High risk product and
process
knowledge
required
Applies
to
fermentation,
concentration
aseptic filling or drying operations processes.
The commercial sterilization of fish,
meats, fruits and vegetables and other
low acid soups and sauces in metal or
glass containers or retort pouches.
The UHT treatment of
•
Pasteurized
crab meat;
canned
and
•
Milk or milk products; or
•
Egg or egg products; or
•
Fruit or vegetable juices.
chilled
Excludes powdered milk and pasteurization
and UHT treatment of milk or milk products
or fruit and vegetable juicing operations.
Includes
unpasteurized
fruit
or
vegetable juice cordial, carbonated soft
drinks, carbonated and non-carbonated
waters, mineral water, ice, wine, beer
and
other
alcoholic
beverages,
powdered beverage formulations and
tea and coffee products.
Some
high
risk
process
knowledge
required
Applies to the preparation, transport and
storage of all types of confectionary and
extends to all chocolate and imitation
Includes all confectionary products
which undergo refining, conching,
starch molding, compression, extrusion
Some
high
risk
process
knowledge
required
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
145
Appendix 1: Food Sector Categories
The SQF Code, Edition 7
First published May 1995
Category
No.
(Supplier
Scope of
Certification)
GFSI Industry
Scopes
Applicable SQF Code
Modules
Description
Example of Products
Level of Risk
chocolate-based processing.
and vacuum cooking.
Applies to the processing, transport and
storage of all foods preserved under high
temperature
processes
not
covered
elsewhere, compositionally preserved foods
that are not high temperature processed or
other alternative acceptable methods not
covered elsewhere.
Includes
dressings,
mayonnaise,
sauces, marinades, pickled foods,
peanut butter, mustards, jams and
fillings.
Some
high
risk
process
knowledge
required
Applies to the processing, blending, repackaging transport and storage of dry food
ingredients including cultures and yeast, but
excludes dairy products, fermented meats or
other
fermented
products
mentioned
elsewhere.
Includes starter cultures used in
cheese, yogurt and wine manufacture
and cultures used in the baking
industry and other products such as
vinegar used for the preservation of
foods. Other additional products include
additives, preservatives, flavorings,
colorings,
soup
mixes,
sauces,
dehydrated culinary products, salt,
sugar, spices and other condiments.
Some
high
risk
process
knowledge
required
Applies to the processing, receipt, controlled
temperature storage and transport of foods
prepared from a range of ingredients (mixed
foods) that require cooking or heating prior
to serving.
Includes RTE chilled meals and deserts,
frozen meals, pizza, frozen pasta,
soups, and meal solutions, sous vide
products,
and
freeze-dried
and
dehydrated meals.
High risk product and
process
knowledge
required
Applies to the manufacture of all animal and
vegetable oils and fats and to the
manufacture
of
margarine.
Includes
clarifying and refining processes.
Includes
shortening
(animal
and
vegetable), oils (olive, peanut, corn,
vegetable, sunflower, safflower, canola,
nut, seed), and oil-based spreads such
as margarine and oil based spreads.
Low risk
Applies to the processing of cereals and nuts
of all varieties, including sorting, grading,
picking, handling of bulk grains, milling, and
extruding and the roasting, drying, cutting,
and grinding processing of nuts.
Includes wheat, maize, rice, barley,
oats, millet, nut butters/pastes, pasta,
breakfast cereals, and sliced, chopped,
and ground nuts.
Some
high
risk
process
knowledge
required
Preserved Foods
Manufacture
ElV: Processing of
Ambient
Stable
Products
Module 2: System elements
Food Ingredient
Manufacture
L: Production
Bio-chemicals
Module 2: System elements
Recipe Meals
Manufacture
Elll: Processing of
Perishable
Animal
and Plant Products
Module 2: System elements
Oils, Fats, and the
Manufacture of oil
or fat-based
spreads
Elll: Processing of
Perishable
Animal
and Plant Products
Module 2: System elements
Processing of
Cereal Grains and
Nuts
Ell: Processing or
Perishable
Plant
Products
Module 2: System elements
23
Food Catering and
Food Service
Operations
G: Catering
Not applicable at this time
Applies to all food preparation and service
activities, including transport, storage, and
distribution undertaken with of prepared
mixed foods that are ready to eat and do not
require further treatment or processing by
the consumer.
Includes food service caterers, retail
delicatessen/self-serve
facilities,
restaurants,
fast
food
outlets,
delicatessens,
school
cafeterias
(canteens), hospital/institution meal
services, childcare centers, and mobile
and home delivery food services.
High risk product and
process
knowledge
required
24
Food Retailing
H: Retail/
Wholesale
Not applicable at this time
Applies to the receipt, handling, storage and
display at retail level of stable or preprocessed and packaged foods and/or food
intended for further preparation by the
Includes all foods distributed and sold
through retail outlets that are not
considered high-risk foods.
Low risk
18
19
20
21
22
of
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
Module 11: GMP for processing of
food products
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Appendix 1: Food Sector Categories
The SQF Code, Edition 7
First published May 1995
Category
No.
(Supplier
Scope of
Certification)
GFSI Industry
Scopes
Applicable SQF Code
Modules
Description
Example of Products
Level of Risk
Applies to the receipt, controlled temperature
storage,
display,
consolidation
and
distribution of all perishable fresh produce at
wholesale level.
Includes transportation, storage and
delivery of all varieties of fresh
unprocessed fruits and vegetables.
Low risk
Applies to the receipt, storage, display,
consolidation and distribution of general food
lines including dry goods, stable or preprocessed and packaged foods and/or food
intended for further preparation by the
consumer at wholesale level.
Includes all transportation, storage and
delivery of all foods sold through retail
and foodservice facilities that are low
and high-risk foods.
Low risk
Includes all food-grade packaging
materials including flexible films,
paperboard based containers, metal
containers, flexible pouches, glass
containers,
plastic
and
foam
containers (PET, polystyrene, etc.),
and single-use foodservice products,
Low risk
consumer.
25
26
27
Fresh Produce
Wholesaling and
Distribution
Jl:
Provision
of
Transport
and
Storage Services –
Perishable Food and
Feed
Module 2: System elements
Food Wholesaling
and Distribution
Jll:
Provision
of
Transport
and
Storage Services –
Ambient
Stable
Food and Feed
Module 2: System elements
Manufacture of
Food Sector
Packaging
Materials
M: Production of
Food Packaging
Module 12: GDP for transport and
distribution of food products
Module 12: GDP for transport and
distribution of food products
Module 2: System elements
Module 13: GMP for production of
food packaging
Applies to the manufacture, storage and
transport of food sector packaging
materials.
28
Provision of Crop
Spray Services
I: Provision of Food
Safety Services
Not applicable at this time
Applies to the provision of a spray service on
field crops.
Includes
pesticides
and
fertilizers
administered dry or in aqueous solution.
High
risk
activity
depending
on
the
method and time of
application.
29
Provision of Field
Harvest Services
I: Provision of Food
Safety Services
Not applicable at this time
Applies to the provision of manual labor and
equipment to provide a field harvesting
service.
Includes fresh fruit and vegetable
pickers, rice-pickers, and nut pickers.
High risk activity for
some crops.
30
Provision of
Sanitation and
Hygiene Services
I: Provision of Food
Safety Services
Not applicable at this time
Applies to the provision of sanitation and
hygiene facilities and the servicing and
maintenance of these facilities on site or in
the field.
31
Manufacture of
Dietary
Supplements
L: Production of
Bio-chemicals
Module 2: System elements
Module 11: GMP for processing of
food products
Applies to the manufacture, blending,
transport and storage of dietary
supplements.
Includes stationary and portable
lavatories, hand-washing stations, and
foot baths and contract cleaning
services.
Includes vitamins, probiotics and label
supplements.
Low risk
High risk product and
process
knowledge
required
32
Fertilizer
Manufacture
N/A
Not applicable at this time
Applies to the manufacture, conditioning,
storage and transport of fertilizers used for
agriculture.
Includes soil conditioners, chemical
and organic fertilizers.
Low risk
33
Manufacture of
Agricultural
Chemicals and
Food Processing
Aides
L: Production of
Bio-chemicals
Module 2: System elements
Applies to the manufacture, storage and
transport of chemicals and aides used in the
agricultural and processing sectors.
Includes food grade lubricants, postharvest waxes and spray treatments
and chemicals
for clean-in-place
systems.
Low risk
Module 11: GMP for processing of
food products
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Appendix 1: Food Sector Categories
The SQF Code, Edition 7
First published May 1995
Category
No.
34
35
(Supplier
Scope of
Certification)
GFSI Industry
Scopes
Manufacture of
Animal Feeds
Fll: Production of
Compound Feed
Broker or Agent
N: Broker or Agent
Applicable SQF Code
Modules
Module 2: System elements
Module 4: GAP for compound feed
production
Module 2: System elements
Module 14: GMP for brokers or
agents
Description
Example of Products
Level of Risk
Applies to the manufacture, blending,
transport and storage of animal feeds.
Includes compounded and medicated
feeds.
Some
high
risk
process
knowledge
required
Applies to entities that source all types of
food through domestic and import channels;
procuring and assembling consignments
according to a buyer specification.
The
broker/agent acts as a link between the
producer/manufacturer and the buyer. In
some instances a broker/agent may never
see or handle the product
All foods and beverages
Low risk
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148
Appendix 2: Glossary
The SQF Code, Edition 7
First published May 1995
Appendix 2: Glossary of Terms
Accreditation
Verification by an accreditation body confirming that the management system of a
certification body complies with the ISO/IEC Guide 65: 1996 and the general requirements
and that the certification body is suitable to be granted a license to provide the service in
the territory and that the certification body is suitable to continue to provide the service.
Approved
Supplier(s)
An entity that has implemented a management system, approved by its customer. The
management system shall document the controls, verification procedures and product
analysis, and include all records necessary to satisfy the customer’s food safety and quality
requirements.
Audit
A systematic and independent examination of a supplier’s SQF System by an SQF auditor
to determine whether food safety, hygiene and management activities are undertaken in
accordance with that system documentation and comply with the requirements of the SQF
Code, as appropriate, and to verify whether these arrangements are implemented
effectively.
Audit Checklist
The list of audit questions, customized by SQF level and audit scope, downloaded for the
SQF auditor to use when conducting an SQF audit.
Auditor
A person registered by the SQFI to audit a supplier’s SQF System. An auditor must work
for a licensed certification body. SQF auditor and SQF sub-contract auditor shall have the
same meaning.
Business Crisis
An event (i.e. flood, drought, fire, etc.) that adversely affects the supplier’s ability to
provide continuity of supply of safe, quality food, and requires a crisis management
(business continuity) plan.
Central Site
An SQF certified supplier at which activities are planned to control and manage a network
of sub-site SQF certified supplier within an SQF multi-site program (refer to module 16).
Certificate of
Registration
A certificate which includes a registration schedule (in a format provided by the SQFI),
issued to a supplier by a licensed certification body following the successful completion of a
certification audit and/or a re-certification audit.
Certification
Certification by a certification body of a supplier’s SQF System as complying with the SQF
Code, as appropriate, following a certification audit or re-certification audit. Certify,
certifies and certified shall have a corresponding meaning under the SQF program.
Certification Audit
An audit of a supplier’s whole SQF System, including a desk audit, where the
supplier’s SQF System:
a) has not been previously certified; or
b) has been previously certified but requires certification as the earlier certification
has been revoked or voluntarily discontinued by the supplier.
Certification Body
An entity which has entered into a license agreement with the FMI SQFI authorizing it to
certify its supplier’s SQF System in accordance with the ISO / IEC Guide 65: 1996 and
general requirements.
Certification
Number
A unique numerical number provided by the SQFI and included on the certificate of
registration and issued to a supplier that has successfully completed a certification audit.
Children
Children are defined under the United Nations Convention on the Rights of the Child as
“human beings below the age of 18 years unless majority is attained earlier under
the applicable laws of a given country.”
Codex
Alimentarius
Commission
The internationally recognized entity whose purpose is to guide and promote the
elaboration and establishment of definitions, standards and requirements for foods, and to
assist in their harmonization and, in doing so, to facilitate international trade. The
Commission Secretariat comprises staff from the Food and Agriculture Organization and
the World Health Organization.
Correction
Action to eliminate a detected non-conformity and corrected shall have the same meaning
Corrective Action
Action to eliminate the cause of a detected non-conformity or other undesirable situation.
Corrective action shall include:
a)
Determine / document any immediate action required / taken
i.
Determine the cause of the problem
ii.
Evaluate action needed on the identified cause
iii.
Determine if the problem exists elsewhere in the system and implement
actions needed
b) Document the results of the action taken
i.
Review/verify and document effectiveness of action taken with objective
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Appendix 2: Glossary
The SQF Code, Edition 7
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evidence
Desk Audit
A review of the supplier’s SQF System documentation, forming part of and being the initial
stage of the certification audit to ensure the system documentation substantially meets the
requirements of the SQF Code, as appropriate.
Environmental
Monitoring
Program
A program which includes pathogen swabbing to detect risk in the sanitary conditions in
the processing environment. A verification of the effectiveness of the pathogen controls
that a management facility has in place for high risk foods.
Exempt
A term applied to elements of the SQF Code that the supplier does not wish to be included
in the SQF System, and has submitted a written request to the certification Body to
exclude, prior to commencement of any scheduled audit activity.
Facility Audit
The second part of a certification audit that reviews the supplier’s products and processes
on-site to determine the effective implementation of the supplier’s documented SQF
System.
FMI
The Food Marketing Institute, a not-for-profit corporation, having its principal offices at
2345 Crystal Drive, Suite 800, Arlington, VA 22202, United States of America.
Food Quality Plan
As described in level 3 of the relevant SQF Code. It shall be based on the HACCP method,
include process controls at quality points in production to monitor product quality, identify
deviations from control parameters and define corrections necessary to keep the process
under control.
Food Safety
Fundamentals
Good Agricultural or Aquaculture Practices (GAPs), Good Manufacturing Practices (GMPs).
Or Good Distribution Practices (GDPs) that define the essential elements that must be
implemented to meet relevant legislative and customer food safety requirements.
Food Safety Plan
A described in the SQF Code. It shall be prepared based on the HACCP Method, include
process controls at control points in production to monitor product safety, identify
deviations from control parameters and define corrections necessary to keep the process
under control.
Food Sector
Category
A classification scheme established to assist in a uniform approach to management of the
SQF program and means those food industry, manufacturing, production, processing,
storage, wholesaling, distribution, retailing and food service activities and other food sector
services as defined by the SQFI.
General
Requirements
The current edition of the document entitled “Criteria for Certification Bodies: SQF
Guidance on the Application of ISO/IEC Guide 65: 1996, General Requirements for
Certification Bodies”, published by FMI SQFI.
Good Agricultural
Practices (GAPs)
Practices on farms which define the essential elements for the development of bestpractice for production, incorporating integrated crop management, integrated pest
management, and integrated agricultural hygienic practices.
Good Aquaculture
Practices
Practices on aquaculture farms and wild catch fisheries which define the essential elements
for the development of best-practice for production, incorporating integrated water quality,
veterinary and growth practices, and handling and hygienic practices.
Good
Manufacturing
Practices (GMPs)
The combination of management and manufacturing practices designed to ensure food
products are consistently produced to meet relevant legislative and customer
specifications.
HACCP
The Hazard Analysis Critical Control Point and refers to the following two universally
accepted guidelines and definitions contained therein:
a)
HACCP guidelines developed and managed by the Food and Agriculture
Organization’s CODEX Alimentarius Commission. Hazard Analysis and Critical
Control Point (HACCP) System and
Guidelines for its Application – Annex to CAC/RCP 1 – 1969, Rev. 4-2003), – “A
system, which identifies, evaluates and controls hazards which are significant for
food safety.”
b) HACCP guidelines developed and managed by the National Advisory Committee on
Microbiological Criteria for Foods (NACMCF). Hazard Analysis and Critical Control
Point Principles and application Guidelines, Adopted August 14, 1997. “A systematic
approach to the identification, evaluation, and control of food safety hazards”
together referred to as the HACCP Guidelines.
HACCP Method
The implementation of pre-requisite programs and the application of HACCP principles in
the logical sequence of the twelve steps as described in the current edition of the CODEX
Alimentarius Commission Guidelines, or the current edition of the HACCP guidelines
developed and managed by the NACMCF. The SQF Code utilizes the HACCP method to
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Appendix 2: Glossary
The SQF Code, Edition 7
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control food safety hazards and other quality threats in the segment of the food chain
under consideration.
HACCP Plan
A document prepared in accordance with the HACCP method to ensure control of hazards
which are significant for food safety in the segment of the food chain under consideration.
HACCP Training
Training that meets the CODEX guidelines outlined in the WHO (1996). Training aspects of
the Hazard Analysis Critical Control Point system (HACCP). Report of a Workshop on
Training in HACCP with the participation of FAO, Geneva, 1–2 June 1995. Geneva, World
Health Organization”. And this training is:
1. Recognized as a HACCP training course used extensively in a country.
2. Administered and delivered by an institution recognized as a food safety training
center of excellence.
3. Shall be a minimum of two days (16 hrs.) in duration, or equivalent
4. Shall be examinable.
Hazardous
Chemicals and
Toxic Substances
Solids, liquids or gasses that are radioactive, flammable, explosive, corrosive, oxidizing,
asphyxiating, pathogenic, or allergenic, including but not restricted to detergents,
sanitizers, pest control chemicals, lubricants, paints, processing aids, bio-chemical
additives, which if used or handled incorrectly or in increased dosage may cause harm to
the handler and/or consumer. Hazardous or toxic chemicals may be prescribed by
regulation as ‘dangerous goods’ and may carry a ‘poison’, ‘Hazmat or ‘Hazchem’ label
depending on the jurisdiction.’
High Risk Area
A segregated room or area where high risk food processes are performed, and which
require a higher level of hygienic practice is required to prevent contamination of high risk
food by pathogenic organisms.
High Risk Food
A food that may contain pathogenic microorganisms and will support formation of toxins or
growth of pathogenic microorganisms, and has a significant likelihood of growth causing
illness or injury to a consumer if not properly produced, processed, distributed and/or
prepared for consumption. It may also apply to a food that is deemed high risk by a
customer or declared high risk by the relevant food regulation.
High Risk Food
Process(es)
The production, handling, storage, processing, manufacturing and/or preparation of high
risk food.
Industry Code of
Practice
Industry norms, rules or protocols established by industry groups which provide practical,
industry specific guidelines on meeting regulations whilst meeting industry needs.
Legality
Legality refers to national federal, state and local regulations in the country of manufacture
and intended markets.
Licensed
Certification Body
(LCB)
An entity which has entered into a license agreement with FMI authorizing it to manage the
auditing and certification of SQF System.
Low Risk Food
A food that is not classified as high risk.
Mandatory
Elements
Elements of module 2 that must be applied and audited for a supplier to achieve SQF
certification.
Maximum Residue
Limits
Or MRLs, generally set by local regulation or Codex Alimentarius Commission, and applies
to maximum allowable trace levels of agricultural and veterinary chemicals in agricultural
produce, particularly produce entering the food chain.
Multi-site Program
An SQF multi-site program is comprised of a central-SQF certified site under which
activities are planned to manage and control the food safety and quality management
systems of a network of sub-sites under a legal or contractual link (refer to module 16).
NACMCF
The National Advisory Committee on Microbiological Criteria for Foods of the United States
of America.
Non conformity (or
Non-conformance)
Refers to the following definitions:
Critical non-conformance includes but is not limited to:
i)
A break-down of control(s) at a critical control point, pre-requisite program or
other process step and judged likely to cause a significant public health risk
whereby product safety is compromised and judged likely to result in a Class 1 or
Class 2 recall and effective corrective action is not taken.
ii)
Falsification of records relating to food safety controls and the SQF System.
Major non-conformance means a lack or deficiency in the SQF System producing
unsatisfactory conditions that carry a food safety or quality risk and likely to result in a
System element breakdown.
Minor non-conformance means a lack or deficiency in the SQF System that produces
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Appendix 2: Glossary
The SQF Code, Edition 7
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unsatisfactory conditions that if not addressed may lead to a risk to food safety and quality
but not likely to cause a System element breakdown.
Opportunity for
Improvement
(OIP)
An observation made by the auditor during a site audit that identifies an issue that is not a
Non-conformance but recognizes that the practices conducted by the supplier are not
industry best practice. It does not require a corrective action response by the supplier,
but provides the supplier with an opportunity to improve their SQF System.
Pre-requisite
Program
A procedural measure that when implemented reduces the likelihood of a food safety
hazard or a food quality threat occurring, but one that may not be directly related to
activities taking place during production.
Primary Producer
or Producer
A sole entity involved in the pre-farm gate production, field packing, storage and supply of
food produced and/or harvested under their exclusive control.
Processing
The processing of food through one or more steps in which the nature of the food is
changed. Processing includes but is not limited to repacking, over bagging and re-labeling
of food, slaughtering, dismembering, sorting, grading, cleaning, treating, drying, salting,
smoking, cooking, canning, purifying and the pasteurization of food.
Product
Those products that apply to a specific food sector category as defined by the SQFI.
Purity
The absence of contaminants that could cause a food safety hazard.
Re-certification
A re-certification by a certification body of a supplier’s SQF System as a result of a recertification audit, and re-certified shall have a corresponding meaning.
Re-certification
Audit
An audit of the supplier’s SQF System within 30 calendar days of the anniversary of
certification.
Recoup
Product that is intact and requires no further processing or handling but is repackaged for
distribution. For example, mixing of partial cases to build one complete case. May also be
referred to as ‘repack.’
Registration
Schedule
The portion of the certificate of registration setting out the scope of and the nature and
extent of the rights of use of the quality shield granted to the supplier.
Rules
The rules and procedures contained in this document, and include the schedule and any
modification, variation or replacement of this document.
Rules of Use
The rules and procedures contained in the Reference Appendix 3: SQF Quality Shield and
Logo Rules of Use and includes the Certificate Schedule and any modification, variation or
replacement of the SQF Trademark Rules of Use.
Scope of
Certification
The food sector categories and those products to be covered by the certificate of
registration.
Season or
Seasonal
A period in which the major activity is conducted over not more than five consecutive
months in a calendar year, for example harvesting and packing during the apple season.
Site
The actual street address of the supplier’s premises.
SQF Auditor
The same meaning as auditor.
SQF Logo
Means the SQF Code and the logo depicted in Schedule 2 in the Reference Appendix 3: SQF
Quality Shield and Logo Rules of Use.
SQF Quality Shield
Means the SQF Code and the shield depicted in Schedule 1 in the Reference Appendix 3:
SQF Quality Shield and Logo Rules of Use.
SQF System
A risk management and preventive system that includes a food safety plan and food
quality plan at level 3 implemented and operated by a supplier to assure food safety and
quality (level 3). It is developed by an SQF practitioner with the assistance of an SQF
consultant if so desired, audited by an SQF auditor and certified by a licensed certification
body as meeting the requirements relevant to the SQF Code.
SQF Consultant
A person who is registered by the SQFI to assist in the development, validation,
verification, implementation and maintenance of SQF System on behalf of client supplier
and in the food industry categories appropriate to their scope of registration.
SQF Practitioner
An individual, designated by a producer/supplier to develop, validate, verify, implement
and maintain that producer’s/supplier’s own SQF System. The SQF practitioner details shall
be verified by the SQF auditor as meeting the following requirements:
i.
Be employed by the company as a permanent full time employee and hold a
position of responsibility in regard to the management of the company’s SQF
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Appendix 2: Glossary
The SQF Code, Edition 7
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System;
ii. Have completed a HACCP training course and be experienced and competent to
implement and maintain HACCP-based food safety plans;
iii. Have an understanding of the SQF Code and the requirements to implement and
maintain SQF System relevant to the company’s scope of certification. Successful
completion of the “Implementing SQF System Training Course Exam” would meet
this requirement.
The SQF Codes and all associated System, rules, quality shield, intellectual property and
documents.
SQF Program
SQFI
The SQF Institute, a division of the Food Marketing Institute (FMI).
SQF Trainer
An individual contracted to an SQF licensed training center that has applied and met the
requirements listed in the “Application for SQF Trainers” published by FMI SQFI and upon
approval is registered under the SQFI to provide a consistent available source of training
on the SQF program.
Sub-site
An SQF certified supplier which operates under a contractual link to an SQF certified central
site within an SQF multi-site program (refer to module 16).
Supplier
Any food business involved in the production, manufacture, processing, transport, storage,
distribution or sale of food, beverages, packaging or fiber, or providing support services to
the food sector and run by a person, company, cooperative, partnership, joint venture,
business or other organization who has, or agrees to have, a certification body carry out
audits and certification of its SQF System.
Supplier
Assessment
Database
The online databases, accessed via the SQF website, which is used to manage supplier
registrations, supplier audits, close out of corrective actions, and supplier certification.
Surveillance Audit
A six monthly audit (or more frequently as determined by the certification body) of part of
a supplier’s SQF System where that system has previously been certified or re-certified and
whose certification is current. Multi-site certification requires surveillance audits every six
months at a minimum.
Technical Expert
An individual engaged by a certification body to provide a high level of technical support to
the audit team. The technical expert shall demonstrate a high degree of expertise and
technical competence in the food sector category under study, a sound knowledge and
understanding of the HACCP method and where possible be registered as an SQF
consultant.
Trademarks
All certification and service marks filed or registered in the name of FMI and the licensor in
relation to the SQF program.
Training Center
An entity which has entered into a license agreement with the SQFI to deliver SQF System
training.
Validation
As defined in the NACMCF Hazard Analysis and Critical Control Point Principles and
Application Guidelines, Adopted August 14, 1997 as amended from time to time and the
Food and Agriculture CODEX Alimentarius Commission Hazard Analysis and Critical Control
Point (HACCP) – Guidelines for Implementation and Use, ALINORM 97/13A as amended
from time to time. Essentially validation as applied to control limits seeks to prove that the
intended result was achieved and that it actually worked.
Verification
As defined in the NACMCF Hazard Analysis and Critical Control Point Principles and
Application Guidelines, Adopted August 14, 1997 as amended from time to time and the
Food and Agriculture CODEX Alimentarius Commission Hazard Analysis and Critical Control
Point (HACCP) – Guidelines for Implementation and Use, ALINORM 97/13A as amended
from time to time. Essentially verification as applied to control measures seeks to prove
that the control measure was done according to its design.
Verification
Schedule
A schedule outlining the frequency and responsibility for carrying out the methods,
procedures or tests additional to those used in monitoring, to determine that the HACCP
study was completed correctly, that the relevant SQF System is compliant with the
relevant food safety and food quality plan and that it continues to be effective.
Water Treatment
The microbiological, chemical, and/or physical treatment of water for use in processing or
cleaning, to ensure its potability and suitability for use.
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The SQF Code, Edition 7
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Appendix 3: SQF Quality Shield and Logo
Rules of Use
Appendix 3: SQF Quality Shield and Logo Rules of Use
SQF Quality Shield
1
2
3
Introduction
1.1
The SQF quality shield is owned by SQFI.
1.2
Suppliers will have the right to use the SQF quality shield upon and for the duration of
certification. There will be no fee payable by Suppliers for the right to use the SQF
quality shield, other than fees payable to obtain and maintain certification.
1.3
Suppliers obtain no property rights in the SQF quality shield.
1.4
Suppliers may only use the SQF quality shield in accordance with these rules of use,
which are designed to protect the integrity and enhance the value of the SQF quality
shield.
1.5
SQFI delegates any or all of its functions described herein to a licensed Certification Body
as stipulated in the “SAFE QUALITY FOOD INSTITUTE CERTIFICATION BODY LICENSE
AGREEMENT, 2012-2014 Term, Section 4, Subsection 4.1 clause (s).”
1.6
These rules of use regulate the use of the SQF quality shield by Suppliers only. These
rules of use do not regulate the use of the SQF quality shield by SQFI, CBs or other
entities licensed by SQFI to use them, unless otherwise provided for in this or another
instrument.
Conditions for Use
2.1
A Supplier shall, for the duration of its certification, prove to the satisfaction of SQFI and
the CB that its quality system satisfies the requirements set forth in the current edition
of the SQF Code, at level 3; and
2.2
A Supplier must only use the SQF quality shield in accordance with its certificate of
registration and these rules of use.
Reproduction
3.1
4
If a Supplier wishes to reproduce the SQF quality shield it must do so strictly in
accordance with the requirements and specifications set out in Schedule 1.
Obligations of a Supplier for Use
4.1
A supplier must:
a)
comply fully with these rules of use;
b)
where it deals with both certified and uncertified goods, must ensure that the SQF
quality shield is only used in respect to certified goods and that certified goods are
clearly distinguished from uncertified goods.. For example, if a certified market
agent or retailer receives uncertified packaged apples from Supplier A and certified
packaged apples from Supplier B, these must be clearly distinguished at the point of
sale;
c)
direct any queries regarding their intended use of the SQF quality shield to the CB
who issued the certificate of registration;
d)
discontinue any use of the SQF quality shield to which SQFI or certifying CB who
issued the certificate of registration reasonably objects;
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The SQF Code, Edition 7
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5
operate entirely within the scope of its certificate of registration, including the
certification schedule. Subsidiary companies and site addresses not included on the
certificate of registration are not certified to use the SQF quality shield;
f)
give SQFI, a CB and/or their agents access to examine the goods, products, wraps,
packaging, containers, stationery, publicity material and all other such items bearing
or indicating the SQF quality shield for the purpose of confirming compliance with
these rules of use and the certificate of registration; and
g)
pay within the specified time any fees set by SQFI.
The permission for a Supplier to use the SQF quality shield shall be:
a)
suspended if the Supplier’s certification is suspended; all use of the SQF quality
shield in the manufacturing process must cease upon certificate suspension.
b)
withdrawn if the Supplier’s certification is withdrawn, relinquished or not renewed.
c)
A Supplier’s permission to use the SQF quality shield may be withdrawn or
suspended at SQFI’s sole discretion for the following reasons: if the Supplier fails to
comply with these rules of use;
d)
if the Supplier fails to use the SQF quality shield in accordance with its certificate of
registration, including the certification schedule;
e)
if the Supplier uses the SQF quality shield in a way that, in the opinion of SQFI or
the CB, is detrimental to the SQF quality shield or the SQF program as a whole, is
misleading to the public or contrary to law; or
f)
if the Supplier ceases to carry on business or has an administrator, receiver,
receiver manager or liquidator appointed over its assets for the purpose of the
winding up of the Supplier’s assets.
Withdrawn Certification
6.1
7
e)
Suspension or Withdrawal of Approval to Use the SQF Quality Shield
5.1
6
Appendix 3: SQF Quality Shield and Logo
Rules of Use
A Supplier whose certificate has been withdrawn must:
a.
submit and receive permission from SQFI to use up product in commerce that has
the SQF quality shield; and
b.
conceal the SQF quality shield logo on remaining SQF quality shield packaging
supplies, products and all other printed materials. In lieu of concealing the SQF
quality shield, a withdrawn supplier may destroy all remaining SQF quality shield
supplies.
Disclaimer
7.1
SQFI may from time to time alter these rules of use or make new rules but no such
alteration or new rule shall affect the use of the SQF quality shield by a Supplier until 6
months have expired from the date the alteration or new rules of use are first published
by SQFI website www.sqfi.com unless specified by SQFI.
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Appendix 3: SQF Quality Shield and Logo
Rules of Use
The SQF Code, Edition 7
First published May 1995
SCHEDULE 1: REPRODUCTION REQUIREMENTS FOR THE SQF QUALITY SHIELD
Introduction
Suppliers who achieve and maintain level 3 certification are granted permission by their certifying CB
to use the SQF quality shield, subject to the rules of use and the conditions set out hereunder per
level 3 certified site.
The Certification Body name and certificate number must be identified in conjunction with the
logo in the following form.
Electronic SQF quality shield logo files can be obtained from the supplier’s certifying Certification Body.
Color Format
For Use On
Full Color Reproduction: see PMS color
format set out at Schedule 1 Clause 2.
•
brochures, advertisements, press releases,
company website and/or
•
stationary including business cards and
letterheads, signage, flags and vehicles
associated with SQF certified services such as
transport and delivery.
•
goods or products for public display, (when
product is presented for promotional or retail
purposes) e.g.
i.) as a sticker or other label affixed to the
goods or product; or
ii.) a product wrap.
Single Color Reproduction: black and white.
•
non-recyclable packaging or containers for
goods or products intended for retail display
e.g. boxes, crates or the like.
•
goods or products for public display, (when
product is presented for promotional or retail
purposes)
•
i.
as a sticker or other label affixed to the
goods or product; or
ii.
a product wrap.
non-recyclable packaging or containers for
goods or products intended for retail display
e.g. boxes, crates or the like
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Appendix 3: SQF Quality Shield and Logo
Rules of Use
The SQF Code, Edition 7
First published May 1995
Color Reproduction of the SQF Quality Shield
Reproduction of the SQF quality shield is to be clear, precise and of the highest standard. The
following guidelines govern full color reproduction.
PMS 7463 C
CMYK: C=40 M=13.6 Y=0 K=0.8
40% Tint of PMS 3005C
CMYK: C=100 M=43 Y=0 K=65
Font type of the SQF Quality Shield must be Chaparral Pro Semibold.
Wording In Lieu of the SQF Quality Shield
A Supplier may use the following wording in lieu of the SQF quality shield: “(Insert Supplier name
from Certificate of Registration)” – an SQF Level 3 Quality Certified Supplier No. (Insert number issued
by the CB) and Certified by (Insert name of Certification Body).”
The words must appear in the dominant font color of the packaging.
Dimensions
The dimensions of the SQF quality shield are 47mm high by 35mm wide, as shown.
47 MM
35 MM
Variation to these dimensions is permitted provided that any such variation is proportional to the
above dimensions and the letters and numerals on the logo remain clear and legible.
Certification Numbers
The individual Certification Number issued to suppliers must always be included as part of the SQF
quality shield as follows:
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
157
The SQF Code, Edition 7
First published May 1995
Appendix 3: SQF Quality Shield and Logo
Rules of Use
Special Cases
Where it is demonstrated that alternative reproduction of the SQF quality shield or wording in lieu of
the SQF quality shield enhances the status of the SQF quality shield and/or SQFI, then the alternative
is permitted provided it is approved by the certifying CB. All requests must be provided in writing per
certified site to the certifying CB and SQFI.
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
158
The SQF Code, Edition 7
First published May 1995
Appendix 3: SQF Quality Shield and Logo
Rules of Use
SQF Logo
1
2
3
Introduction
1.1
The SQF logo is owned by SQFI.
1.2
Suppliers will have the right to use the SQF logo upon and for the duration of
certification. There will be no fee payable by Suppliers for the right to use the SQF logo,
other than fees payable to obtain and maintain certification.
1.3
Suppliers obtain no property in the SQF logo.
1.4
Suppliers may only use the SQF logo in accordance with these rules of use, which are
designed to protect the integrity and enhance the value of the SQF logo.
1.5
SQFI delegates any or all of its functions described herein to a licensed Certification
Body.
1.6
These rules of use regulate the use of the SQF logo by Suppliers only. These rules of use
do not regulate the use of the SQF logo by SQFI, CBs or other entities licensed by SQFI
to use them, unless otherwise provided for in this or another instrument.
Conditions for Use
2.1
A Supplier shall, for the duration of its certification, prove to the satisfaction of SQFI and
the CB that its quality system satisfies the requirements set forth in the current edition
of the SQF Code, at level 2 or level 3; and
2.2
A Supplier must only use the SQF logo in accordance with its certificate of registration
and these rules of use.
Reproduction
3.1
4
If a Supplier wishes to reproduce the SQF logo it must do so strictly in accordance with
the requirements and specifications set out in Schedule 2.
Obligations of a Supplier
4.1
A supplier must:
a)
comply fully with these rules of use;
b)
direct any queries regarding their intended use of the SQF logo to the certifying CB
who issued the certificate of registration;
c)
discontinue any use of the SQF logo to which SQFI or the certifying CB reasonably
objects;
d)
operate entirely within the scope of its certificate of registration, including the
certification schedule. Subsidiary companies and site addresses not included on the
certificate of registration are not certified to use the SQF logo;
e)
give SQFI, a CB and/or their agents access to examine publicity material and all
other such items bearing or indicating the SQF logo for the purpose of confirming
compliance with these rules of use and the certificate of registration; and
f)
pay within the specified time any fees set by SQFI.
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159
The SQF Code, Edition 7
First published May 1995
5
Grounds for Suspending or Ceasing Use of the SQF Logo
5.1
5.2
6
Appendix 3: SQF Quality Shield and Logo
Rules of Use
The permission for a Supplier to use the SQF logo will:
a)
be suspended if the Supplier’s certification is suspended; all efforts must be made to
suspend in the manufacturing process of the use of the SQF logo upon certificate
suspension.
b)
cease to be used within the operation if the Supplier’s certification is withdrawn,
relinquished or not renewed.
Conditions for suspending or ceasing a Supplier’s permission to use the SQF logo, to be
notified by the certifying CB, include (but are not necessarily limited to):
a)
suspended if the Supplier breaches or fails to comply with these rules of use;
b)
suspended if the Supplier fails to use the SQF logo in accordance with its certificate
of registration, including the certification schedule;
c)
ceased if the Supplier uses the SQF logo in a way that, in the opinion of SQFI or the
CB, is detrimental to the SQF logo or the SQF program as a whole, is misleading to
the public or otherwise contrary to law; or
d)
ceased if the Supplier has an administrator, receiver, receiver and manager, official
manager or provisional liquidator appointed over its assets or where an order is
made or a resolution passed for the winding up of the Supplier (except for the
purpose of amalgamation or reconstruction) or the Supplier ceases to carry on
business or becomes bankrupt, applies to take the benefit of any law for the relief of
bankrupt or insolvent debtors or makes any arrangement or composition with its
creditors
Disclaimer
6.1
SQFI may from time to time alter these rules of use or make new rules but no such
alteration or new rule shall affect the use of the SQF logo by a Supplier until 6 months
have expired from the date the alteration or new rules of use are first published by SQFI
website www.sqfi.com unless specified by SQFI.
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Appendix 3: SQF Quality Shield and Logo
Rules of Use
The SQF Code, Edition 7
First published May 1995
SCHEDULE 2: REPRODUCTION REQUIREMENTS FOR THE SQF LOGO
Introduction
Suppliers who achieve and maintain level 2 or 3 certification are granted permission by their certifying
CB to use the SQF logo, subject to the rules of use and the conditions set out hereunder per level 2
or level 3 certified site.
Electronic SQF logo files can be obtained from the certifying CB.
Color Format
For Use On
Full Color Reproduction: see PMS color
format set out at Schedule 2 Clause 2.
•
brochures, flyers, advertisements, press
releases, company website
•
internal documents and training materials
•
brochures, flyers, advertisements, press
releases, company website
•
internal documents and training materials
Single Color Reproduction: black and white.
Color Reproduction of the SQF Logo
Reproduction of the SQF logo is to be clear, precise and of the highest standard. The following
guidelines govern full color reproduction.
PMS 3005C
CMYK: C=100, M=34, Y=0, K=2
Dimensions
To ensure readability, do not reproduce the SQF logo smaller than indicated below. Larger variation to
these dimensions is permitted provided that any such variation is proportional to the dimensions given
below.
8 MM
18 MM
SQF Code edition 7. Copyright© Food Marketing Institute 2011. All rights reserved.
161
The SQF Code, Edition 7
First published May 1995
Appendix 3: SQF Quality Shield and Logo
Rules of Use
Special Cases
Where it is demonstrated that alternative reproduction of the SQF logo enhances the status of the SQF
logo and/or SQFI, then the alternative is permitted provided it is approved by the certifying CB. All
requests must be provided in writing per certified site to the certifying CB and SQFI.
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162